Managing Member

0001085146-16-004403.txt : 20160909 0001085146-16-004403.hdr.sgml : 20160909 20160908192543 ACCESSION NUMBER: 0001085146-16-004403 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20131231 FILED AS OF DATE: 20160909 DATE AS OF CHANGE: 20160908 EFFECTIVENESS DATE: 20160909 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NWAM LLC CENTRAL INDEX KEY: 0001655006 IRS NUMBER: 000000000 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-17002 FILM NUMBER: 161877547 BUSINESS ADDRESS: STREET 1: 7900 SE 28TH STREET, SUITE 412 CITY: MERCER ISLAND STATE: WA ZIP: 98040 BUSINESS PHONE: (206)838-3680 MAIL ADDRESS: STREET 1: 7900 SE 28TH STREET, SUITE 412 CITY: MERCER ISLAND STATE: WA ZIP: 98040 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001655006 XXXXXXXX 12-31-2013 12-31-2013 false NWAM LLC

7900 SE 28TH STREET, SUITE 412 MERCER ISLAND WA 98040

13F HOLDINGS REPORT 028-17002 N Greg Headrick Managing Member 206-838-3680 /s/ Greg Headrick Mercer Island WA 09-01-2016 0 178 188355 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M CO COM 88579Y101 410 2921 SH SOLE 2921 0 0 ABBOTT LABS COM 002824100 336 8778 SH SOLE 8778 0 0 ADVANCED MICRO DEVICES INC COM 007903107 39 10090 SH SOLE 10090 0 0 ADVISORSHARES TR PERITUS HG YLD 00768Y503 1591 30776 SH SOLE 30776 0 0 AFLAC INC COM 001055102 223 3341 SH SOLE 3341 0 0 ALLIANCEBERNSTEIN NATL MUNI COM 01864U106 1541 107905 SH SOLE 107905 0 0 ALPHA NATURAL RESOURCES INC COM 02076X102 155 21691 SH SOLE 21691 0 0 ALTRIA GROUP INC COM 02209S103 969 25245 SH SOLE 25245 0 0 AMAZON COM INC COM 023135106 662 1659 SH SOLE 1659 0 0 AMERICAN CAP LTD COM 02503Y103 182 11657 SH SOLE 11657 0 0 AMERICAN EXPRESS CO COM 025816109 430 4742 SH SOLE 4742 0 0 AMERIGAS PARTNERS L P UNIT L P INT 030975106 2127 47721 SH SOLE 47721 0 0 AMGEN INC COM 031162100 329 2887 SH SOLE 2887 0 0 ANNALY CAP MGMT INC COM 035710409 246 24664 SH SOLE 24664 0 0 APPLE INC COM 037833100 3696 14097 SH SOLE 14097 0 0 ARES CAP CORP COM 04010L103 323 18191 SH SOLE 18191 0 0 AT&T INC COM 00206R102 2001 56911 SH SOLE 56911 0 0 BAIDU INC SPON ADR REP A 056752108 297 1667 SH SOLE 1667 0 0 BANK HAWAII CORP COM 062540109 591 10000 SH SOLE 10000 0 0 BANK MONTREAL QUE COM 063671101 285 4269 SH SOLE 4269 0 0 BANK OF AMERICA CORPORATION COM 060505104 3912 251255 SH SOLE 251255 0 0 BARCLAYS BK PLC DJUBS CMDT ETN36 06738C778 2500 68033 SH SOLE 68033 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 3170 23737 SH SOLE 23737 0 0 BLACKROCK ENHANCED EQT DIV T COM 09251A104 201 25280 SH SOLE 25280 0 0 BLACKROCK MUN 2020 TERM TR COM SHS 09249X109 822 52170 SH SOLE 52170 0 0 BOEING CO COM 097023105 3524 25816 SH SOLE 25816 0 0 BP PLC SPONSORED ADR 055622104 1314 27030 SH SOLE 27030 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 1648 31001 SH SOLE 31001 0 0 BROADCOM CORP CL A 111320107 295 9937 SH SOLE 9937 0 0 CABLEVISION SYS CORP CL A NY CABLVS 12686C109 336 18752 SH SOLE 18752 0 0 CALAMOS STRATEGIC TOTL RETN COM SH BEN INT 128125101 129 11819 SH SOLE 11819 0 0 CBL & ASSOC PPTYS INC COM 124830100 606 33726 SH SOLE 33726 0 0 CENTURYLINK INC COM 156700106 917 28805 SH SOLE 28805 0 0 CHESAPEAKE ENERGY CORP COM 165167107 919 33852 SH SOLE 33852 0 0 CHEVRON CORP NEW COM 166764100 2494 19967 SH SOLE 19967 0 0 CIMATRON LTD ORD M23798107 149 16525 SH SOLE 16525 0 0 CISCO SYS INC COM 17275R102 1883 83952 SH SOLE 83952 0 0 CITIGROUP INC COM NEW 172967424 426 8180 SH SOLE 8180 0 0 CLOROX CO DEL COM 189054109 334 3600 SH SOLE 3600 0 0 COLUMBIA BKG SYS INC COM 197236102 205 7442 SH SOLE 7442 0 0 COMCAST CORP NEW CL A 20030N101 448 8627 SH SOLE 8627 0 0 CONOCOPHILLIPS COM 20825C104 1018 14406 SH SOLE 14406 0 0 COSTCO WHSL CORP NEW COM 22160K105 1807 15180 SH SOLE 15180 0 0 DANAHER CORP DEL COM 235851102 652 8446 SH SOLE 8446 0 0 DISNEY WALT CO COM DISNEY 254687106 234 3057 SH SOLE 3057 0 0 DOW CHEM CO COM 260543103 2333 52539 SH SOLE 52539 0 0 DREYFUS STRATEGIC MUNS INC COM 261932107 99 13000 SH SOLE 13000 0 0 DU PONT E I DE NEMOURS & CO COM 263534109 1478 22742 SH SOLE 22742 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 650 9422 SH SOLE 9422 0 0 E M C CORP MASS COM 268648102 534 21216 SH SOLE 21216 0 0 ENERGIZER HLDGS INC COM 29266R108 12 62096 SH SOLE 62096 0 0 EQUIFAX INC COM 294429105 276 4000 SH SOLE 4000 0 0 EXXON MOBIL CORP COM 30231G102 1761 17403 SH SOLE 17403 0 0 FACEBOOK INC CL A 30303M102 581 10633 SH SOLE 10633 0 0 FERRELLGAS PARTNERS L.P. UNIT LTD PART 315293100 2164 94273 SH SOLE 94273 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 689 44654 SH SOLE 44654 0 0 FORTRESS INVESTMENT GROUP LL CL A 34958B106 385 45000 SH SOLE 45000 0 0 FRONTIER COMMUNICATIONS CORP COM 35906A108 722 155284 SH SOLE 155284 0 0 FX ENERGY INC COM 302695101 59 16000 SH SOLE 16000 0 0 GAMCO GLOBAL GOLD NAT RES & COM SH BEN INT 36465A109 144 16000 SH SOLE 16000 0 0 GENERAL ELECTRIC CO COM 369604103 3592 128145 SH SOLE 128145 0 0 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 209 3906 SH SOLE 3906 0 0 GOOGLE INC CL A 38259P508 539 481 SH SOLE 481 0 0 GRACE W R & CO DEL NEW COM 38388F108 346 3495 SH SOLE 3495 0 0 HCP INC COM 40414L109 1214 33413 SH SOLE 33413 0 0 HERITAGE FINL CORP WASH COM 42722X106 1054 61654 SH SOLE 61654 0 0 INTEL CORP COM 458140100 2570 99019 SH SOLE 99019 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 524 2793 SH SOLE 2793 0 0 ISHARES 0-5 YR TIPS ETF 46429B747 211 2090 SH SOLE 2090 0 0 ISHARES COHEN&STEER REIT 464287564 349 4668 SH SOLE 4668 0 0 ISHARES CORE S&P MCP ETF 464287507 430 3211 SH SOLE 3211 0 0 ISHARES CORE S&P SCP ETF 464287804 246 2254 SH SOLE 2254 0 0 ISHARES CORE TOTUSBD ETF 464287226 2200 20671 SH SOLE 20671 0 0 ISHARES IBOXX HI YD ETF 464288513 2408 25923 SH SOLE 25923 0 0 ISHARES IBOXX INV CP ETF 464287242 1579 13831 SH SOLE 13831 0 0 ISHARES JP MOR EM MK ETF 464288281 1631 15079 SH SOLE 15079 0 0 ISHARES MSCI EAFE ETF 464287465 3046 45403 SH SOLE 45403 0 0 ISHARES MSCI EMG MKT ETF 464287234 681 16299 SH SOLE 16299 0 0 ISHARES RUS 1000 GRW ETF 464287614 2982 34696 SH SOLE 34696 0 0 ISHARES RUS 1000 VAL ETF 464287598 2743 29132 SH SOLE 29132 0 0 ISHARES RUS 2000 VAL ETF 464287630 331 3327 SH SOLE 3327 0 0 ISHARES RUS MD CP GR ETF 464287481 255 3027 SH SOLE 3027 0 0 ISHARES SELECT DIVID ETF 464287168 4207 58970 SH SOLE 58970 0 0 ISHARES SP SMCP600GR ETF 464287887 2472 20838 SH SOLE 20838 0 0 ISHARES SP SMCP600VL ETF 464287879 497 4463 SH SOLE 4463 0 0 ISHARES TIPS BD ETF 464287176 724 6592 SH SOLE 6592 0 0 ISHARES U.S. BAS MTL ETF 464287838 411 5048 SH SOLE 5048 0 0 ISHARES U.S. PFD STK ETF 464288687 509 13828 SH SOLE 13828 0 0 ISHARES S&P GSCI COMMODITY I UNIT BEN INT 46428R107 701 21775 SH SOLE 21775 0 0 JOHNSON & JOHNSON COM 478160104 690 7531 SH SOLE 7531 0 0 JOHNSON CTLS INC COM 478366107 534 10400 SH SOLE 10400 0 0 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 223 4801 SH SOLE 4801 0 0 JPMORGAN CHASE & CO COM 46625H100 1851 31651 SH SOLE 31651 0 0 KAYNE ANDERSON MLP INVT CO COM 486606106 365 9167 SH SOLE 9167 0 0 KEYCORP NEW COM 493267108 839 62541 SH SOLE 62541 0 0 KINDER MORGAN ENERGY PARTNER UT LTD PARTNER 494550106 310 3842 SH SOLE 3842 0 0 LGL GROUP INC COM 50186A108 1 12650 SH SOLE 12650 0 0 MANNKIND CORP COM 56400P201 293 56275 SH SOLE 56275 0 0 MCDONALDS CORP COM 580135101 486 5011 SH SOLE 5011 0 0 MEDLEY CAP CORP COM 58503F106 499 36050 SH SOLE 36050 0 0 MELCO CROWN ENTMT LTD ADR 585464100 235 6000 SH SOLE 6000 0 0 MERCK & CO INC NEW COM 58933Y105 1491 29792 SH SOLE 29792 0 0 MICROSOFT CORP COM 594918104 10383 277549 SH SOLE 277549 0 0 MILLER ENERGY RES INC COM 600527105 313 13050 SH SOLE 13050 0 0 NEVADA GOLD & CASINOS INC COM NEW 64126Q206 23 17000 SH SOLE 17000 0 0 NEW MTN FIN CORP COM 647551100 190 12600 SH SOLE 12600 0 0 NEW RESIDENTIAL INVT CORP COM 64828T102 1565 234239 SH SOLE 234239 0 0 NEW YORK CMNTY BANCORP INC COM 649445103 191 11350 SH SOLE 11350 0 0 NEWCASTLE INVT CORP COM 65105M108 655 114189 SH SOLE 114189 0 0 NIKE INC CL B 654106103 273 3470 SH SOLE 3470 0 0 NORDSTROM INC COM 655664100 379 6129 SH SOLE 6129 0 0 NUVEEN CONN PREM INCOME MUN COM 67060D107 239 23900 SH SOLE 23900 0 0 NUVEEN GA DIV ADV MUN FD 2 COM 67072B107 341 34100 SH SOLE 34100 0 0 NUVEEN MASS AMT-FREE MUN INC COM 67072F108 117 11700 SH SOLE 11700 0 0 NUVEEN MD PREM INCOME MUN FD COM 67061Q107 551 55000 SH SOLE 55000 0 0 NUVEEN NY DIVID ADVNTG MUN F COM 67066X107 131 13025 SH SOLE 13025 0 0 OMEROS CORP COM 682143102 322 28556 SH SOLE 28556 0 0 ONEBEACON INSURANCE GROUP LT CL A G67742109 262 16540 SH SOLE 16540 0 0 ORACLE CORP COM 68389X105 279 7285 SH SOLE 7285 0 0 PACCAR INC COM 693718108 2520 42584 SH SOLE 42584 0 0 PARAMOUNT GOLD & SILVER CORP COM 69924P102 28 30000 SH SOLE 30000 0 0 PFIZER INC COM 717081103 1312 42838 SH SOLE 42838 0 0 PHILIP MORRIS INTL INC COM 718172109 203 2332 SH SOLE 2332 0 0 PHILLIPS 66 COM 718546104 296 3839 SH SOLE 3839 0 0 PIMCO CORPORATE & INCOME OPP COM 72201B101 299 17300 SH SOLE 17300 0 0 PIMCO CORPORATE INCOME STRAT COM 72200U100 1461 92447 SH SOLE 92447 0 0 PLUM CREEK TIMBER CO INC COM 729251108 397 8533 SH SOLE 8533 0 0 POWERSHARES ETF TRUST II DWA DEVMKTMOM PT 73936Q108 1580 59639 SH SOLE 59639 0 0 POWERSHARES ETF TRUST II DWA EMKT MOM PTF 73936Q207 1698 93443 SH SOLE 93443 0 0 POWERSHARES GLOBAL ETF TRUST AGG PFD PORT 73936T565 1416 105391 SH SOLE 105391 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 3328 37831 SH SOLE 37831 0 0 PRECISION CASTPARTS CORP COM 740189105 791 2938 SH SOLE 2938 0 0 PROCTER & GAMBLE CO COM 742718109 2260 27756 SH SOLE 27756 0 0 PUTNAM MANAGED MUN INCOM TR COM 746823103 162 24400 SH SOLE 24400 0 0 QUALCOMM INC COM 747525103 998 13439 SH SOLE 13439 0 0 REALTY INCOME CORP COM 756109104 1370 36705 SH SOLE 36705 0 0 RESOURCE CAP CORP COM 76120W302 270 4025 SH SOLE 4025 0 0 REVOLUTION LIGHTING TECHNOLO COM 76155G107 141 41100 SH SOLE 41100 0 0 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 5220 73261 SH SOLE 73261 0 0 SANOFI SPONSORED ADR 80105N105 404 7541 SH SOLE 7541 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 1229 34387 SH SOLE 34387 0 0 SHIP FINANCE INTERNATIONAL L SHS G81075106 202 12318 SH SOLE 12318 0 0 SONUS NETWORKS INC COM 835916107 187 59400 SH SOLE 59400 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 986 5340 SH SOLE 5340 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 2381 9752 SH SOLE 9752 0 0 SPDR SERIES TRUST BRC HGH YLD BD 78464A417 414 10204 SH SOLE 10204 0 0 SPDR SERIES TRUST S&P DIVID ETF 78464A763 245 3372 SH SOLE 3372 0 0 SPRINT CORP COM SER 1 85207U105 964 89698 SH SOLE 89698 0 0 STARBUCKS CORP COM 855244109 3805 55059 SH SOLE 55059 0 0 SUN LIFE FINL INC COM 866796105 943 25139 SH SOLE 25139 0 0 TEXAS INSTRS INC COM 882508104 272 6205 SH SOLE 6205 0 0 TIBCO SOFTWARE INC COM 88632Q103 236 10500 SH SOLE 10500 0 0 TRANSOCEAN LTD REG SHS H8817H100 460 9304 SH SOLE 9304 0 0 TYSON FOODS INC CL A 902494103 201 6016 SH SOLE 6016 0 0 U S GEOTHERMAL INC COM 90338S102 6 15000 SH SOLE 15000 0 0 UNION PAC CORP COM 907818108 477 2837 SH SOLE 2837 0 0 UQM TECHNOLOGIES INC COM 903213106 105 48913 SH SOLE 48913 0 0 US BANCORP DEL COM NEW 902973304 3977 98448 SH SOLE 98448 0 0 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 1430 17896 SH SOLE 17896 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 1729 21598 SH SOLE 21598 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 4070 43743 SH SOLE 43743 0 0 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 264 2928 SH SOLE 2928 0 0 VANGUARD INDEX FDS REIT ETF 922908553 3175 49173 SH SOLE 49173 0 0 VANGUARD INDEX FDS SM CP VAL ETF 922908611 433 4451 SH SOLE 4451 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 697 6343 SH SOLE 6343 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 3834 50184 SH SOLE 50184 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 815 16073 SH SOLE 16073 0 0 VANGUARD NAT RES LLC COM UNIT 92205F106 260 8796 SH SOLE 8796 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 384 4819 SH SOLE 4819 0 0 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 351 4665 SH SOLE 4665 0 0 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 534 12813 SH SOLE 12813 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 2428 49414 SH SOLE 49414 0 0 WELLS FARGO & CO NEW COM 949746101 516 11357 SH SOLE 11357 0 0 WELLS FARGO ADVANTAGE INCOME COM SHS 94987B105 133 14485 SH SOLE 14485 0 0 WEYERHAEUSER CO COM 962166104 358 11347 SH SOLE 11347 0 0 WINDSTREAM HLDGS INC COM 97382A101 56 10017 SH SOLE 10017 0 0 WISDOMTREE TR EM LCL DEBT FD 97717X867 483 10494 SH SOLE 10494 0 0 WISDOMTREE TR INTL SMCAP DIV 97717W760 2206 35011 SH SOLE 35011 0 0