0001085146-17-002171.txt : 20171101 0001085146-17-002171.hdr.sgml : 20171101 20171101133410 ACCESSION NUMBER: 0001085146-17-002171 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170930 FILED AS OF DATE: 20171101 DATE AS OF CHANGE: 20171101 EFFECTIVENESS DATE: 20171101 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: 171168282 BUSINESS ADDRESS: STREET 1: 2835 82ND AVE SE STREET 2: SUITE 300 CITY: MERCER ISLAND STATE: WA ZIP: 98040 BUSINESS PHONE: (206)838-3680 MAIL ADDRESS: STREET 1: 2835 82ND AVE SE STREET 2: SUITE 300 CITY: MERCER ISLAND STATE: WA ZIP: 98040 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001655006 XXXXXXXX 09-30-2017 09-30-2017 false NWAM LLC

2835 82nd Ave Se Suite 300 MERCER ISLAND WA 98040

13F HOLDINGS REPORT 028-17002 N Greg Headrick 206-838-3680 /s/ Greg Headrick Mercer Island WA 10-31-2017 0 327 384710 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M CO COM 88579Y101 977 4655 SH SOLE 4655 0 0 ABBOTT LABS COM 002824100 374 7013 SH SOLE 7013 0 0 ABBVIE INC COM 00287Y109 472 5311 SH SOLE 5311 0 0 ABERDEEN ASIA PACIFIC INCOM COM 003009107 1000 193766 SH SOLE 193766 0 0 ACTIVISION BLIZZARD INC COM 00507V109 250 3871 SH SOLE 3871 0 0 ADVANCED MICRO DEVICES INC COM 007903107 229 17967 SH SOLE 17967 0 0 ADVISORSHARES TR ADVISORSHS ETF 00768Y206 616 11075 SH SOLE 11075 0 0 ADVISORSHARES TR PERITUS HG YLD 00768Y503 1564 43415 SH SOLE 43415 0 0 AEMETIS INC COM NEW 00770K202 46 53077 SH SOLE 53077 0 0 AFLAC INC COM 001055102 321 3950 SH SOLE 3950 0 0 AGRIUM INC COM 008916108 296 2763 SH SOLE 2763 0 0 AIR PRODS & CHEMS INC COM 009158106 246 1627 SH SOLE 1627 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 1377 7972 SH SOLE 7972 0 0 ALLERGAN PLC SHS G0177J108 818 3992 SH SOLE 3992 0 0 ALLIANCEBERNSTEIN GBL HGH IN COM 01879R106 1233 94473 SH SOLE 94473 0 0 ALLSTATE CORP COM 020002101 214 2330 SH SOLE 2330 0 0 ALPHABET INC CAP STK CL A 02079K305 1678 1723 SH SOLE 1723 0 0 ALPHABET INC CAP STK CL C 02079K107 1704 1777 SH SOLE 1777 0 0 ALPS ETF TR ALERIAN MLP 00162Q866 2540 226337 SH SOLE 226337 0 0 ALTRIA GROUP INC COM 02209S103 477 7517 SH SOLE 7517 0 0 AMAZON COM INC COM 023135106 4586 4770 SH SOLE 4770 0 0 AMERICAN EXPRESS CO COM 025816109 405 4472 SH SOLE 4472 0 0 AMERICAN INTL GROUP INC COM NEW 026874784 217 3534 SH SOLE 3534 0 0 AMERIGAS PARTNERS L P UNIT L P INT 030975106 339 7541 SH SOLE 7541 0 0 AMGEN INC COM 031162100 1279 6860 SH SOLE 6860 0 0 AMIRA NATURE FOODS LTD SHS G0335L102 310 51500 SH SOLE 51500 0 0 ANALOG DEVICES INC COM 032654105 263 3056 SH SOLE 3056 0 0 ANI PHARMACEUTICALS INC COM 00182C103 625 11912 SH SOLE 11912 0 0 ANNALY CAP MGMT INC COM 035710409 919 75365 SH SOLE 75365 0 0 ANWORTH MORTGAGE ASSET CP COM 037347101 813 135350 SH SOLE 135350 0 0 APPLE INC COM 037833100 10189 66109 SH SOLE 66109 0 0 ARALEZ PHARMACEUTICALS INC COM 03852X100 62 27000 SH SOLE 27000 0 0 ARES CAP CORP COM 04010L103 346 21101 SH SOLE 21101 0 0 AT&T INC COM 00206R102 1662 42420 SH SOLE 42420 0 0 BANK AMER CORP COM 060505104 1664 65677 SH SOLE 65677 0 0 BANK HAWAII CORP COM 062540109 834 10000 SH SOLE 10000 0 0 BANK MONTREAL QUE COM 063671101 534 7050 SH SOLE 7050 0 0 BANK N S HALIFAX COM 064149107 255 3970 SH SOLE 3970 0 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 275 1 SH SOLE 1 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 4857 26493 SH SOLE 26493 0 0 BLACKROCK CORE BD TR SHS BEN INT 09249E101 396 28150 SH SOLE 28150 0 0 BLACKROCK CR ALLCTN INC TR COM 092508100 10261 756129 SH SOLE 756129 0 0 BLACKROCK FLOATING RATE INCO COM 091941104 390 27651 SH SOLE 27651 0 0 BLACKROCK INCOME TR INC COM 09247F100 82 13000 SH SOLE 13000 0 0 BLACKROCK MUN 2020 TERM TR COM SHS 09249X109 1612 103007 SH SOLE 103007 0 0 BLACKROCK MUNI INTER DR FD I COM 09253X102 513 36200 SH SOLE 36200 0 0 BLACKROCK MUNI N Y INTER DUR COM 09255F109 480 34300 SH SOLE 34300 0 0 BLACKROCK MUNIHLDNGS QLTY II COM 09254C107 1230 88305 SH SOLE 88305 0 0 BLACKROCK MUNIY QUALITY FD I COM 09254G108 596 44650 SH SOLE 44650 0 0 BLACKROCK MUNIYIELD QUALITY COM 09254F100 257 16650 SH SOLE 16650 0 0 BOEING CO COM 097023105 6953 27353 SH SOLE 27353 0 0 BP PLC SPONSORED ADR 055622104 1011 26307 SH SOLE 26307 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 940 14744 SH SOLE 14744 0 0 BROADCOM LTD SHS Y09827109 292 1205 SH SOLE 1205 0 0 BROOKFIELD INFRAST PARTNERS LP INT UNIT G16252101 319 7400 SH SOLE 7400 0 0 CALAMOS CONV OPP AND INC FD SH BEN INT 128117108 278 24141 SH SOLE 24141 0 0 CALAMOS STRATEGIC TOTL RETN COM SH BEN INT 128125101 130 10700 SH SOLE 10700 0 0 CATERPILLAR INC DEL COM 149123101 225 1803 SH SOLE 1803 0 0 CBRE CLARION GLOBAL REAL EST COM 12504G100 295 37362 SH SOLE 37362 0 0 CBS CORP NEW CL B 124857202 303 5227 SH SOLE 5227 0 0 CELGENE CORP COM 151020104 361 2479 SH SOLE 2479 0 0 CENTURYLINK INC COM 156700106 252 13315 SH SOLE 13315 0 0 CHESAPEAKE ENERGY CORP COM 165167107 218 50593 SH SOLE 50593 0 0 CHEVRON CORP NEW COM 166764100 3167 26952 SH SOLE 26952 0 0 CHIMERA INVT CORP COM NEW 16934Q208 215 11385 SH SOLE 11385 0 0 CIENA CORP COM NEW 171779309 267 12136 SH SOLE 12136 0 0 CISCO SYS INC COM 17275R102 1603 47666 SH SOLE 47666 0 0 CITIGROUP INC COM NEW 172967424 609 8373 SH SOLE 8373 0 0 CLAYMORE EXCHANGE TRD FD TR GUGGENHEIM SOLAR 18383Q739 1218 56242 SH SOLE 56242 0 0 CLOROX CO DEL COM 189054109 542 4112 SH SOLE 4112 0 0 COCA COLA CO COM 191216100 460 10218 SH SOLE 10218 0 0 COLGATE PALMOLIVE CO COM 194162103 203 2788 SH SOLE 2788 0 0 COLUMBIA BKG SYS INC COM 197236102 463 11006 SH SOLE 11006 0 0 COMCAST CORP NEW CL A 20030N101 1258 32692 SH SOLE 32692 0 0 COMPANHIA DE SANEAMENTO BASI SPONSORED ADR 20441A102 628 60085 SH SOLE 60085 0 0 CONE MIDSTREAM PARTNERS LP COM UNIT REPST 206812109 1011 63846 SH SOLE 63846 0 0 CONOCOPHILLIPS COM 20825C104 358 7151 SH SOLE 7151 0 0 COSTCO WHSL CORP NEW COM 22160K105 2918 17762 SH SOLE 17762 0 0 CRH MEDICAL CORP COM 12626F105 878 337800 SH SOLE 337800 0 0 CSX CORP COM 126408103 250 4612 SH SOLE 4612 0 0 CVS HEALTH CORP COM 126650100 337 4139 SH SOLE 4139 0 0 DANAHER CORP DEL COM 235851102 764 8902 SH SOLE 8902 0 0 DISNEY WALT CO COM DISNEY 254687106 754 7647 SH SOLE 7647 0 0 DOUBLELINE INCOME SOLUTIONS COM 258622109 426 20068 SH SOLE 20068 0 0 DOWDUPONT INC COM 26078J100 1641 23703 SH SOLE 23703 0 0 DREYFUS STRATEGIC MUNS INC COM 261932107 114 13000 SH SOLE 13000 0 0 EATON CORP PLC SHS G29183103 568 7399 SH SOLE 7399 0 0 EATON VANCE SH TM DR DIVR IN COM 27828V104 361 25373 SH SOLE 25373 0 0 EMERSON ELEC CO COM 291011104 223 3553 SH SOLE 3553 0 0 ENERGY TRANSFER PARTNERS LP UNIT LTD PRT INT 29278N103 229 12527 SH SOLE 12527 0 0 ENTERPRISE PRODS PARTNERS L COM 293792107 532 20399 SH SOLE 20399 0 0 EQUIFAX INC COM 294429105 424 4000 SH SOLE 4000 0 0 ERICSSON ADR B SEK 10 294821608 60 10490 SH SOLE 10490 0 0 EXXON MOBIL CORP COM 30231G102 1905 23237 SH SOLE 23237 0 0 FACEBOOK INC CL A 30303M102 2670 15624 SH SOLE 15624 0 0 FEDEX CORP COM 31428X106 420 1864 SH SOLE 1864 0 0 FIRST INTERNET BANCORP COM 320557101 201 6217 SH SOLE 6217 0 0 FIRST TR ABERDEEN GLBL OPP F COM SHS 337319107 246 20865 SH SOLE 20865 0 0 FIRST TR EXCHANGE TRADED FD NO AMER ENERGY 33738D101 1049 42284 SH SOLE 42284 0 0 FIRST TR VALUE LINE DIVID IN SHS 33734H106 817 27477 SH SOLE 27477 0 0 FISERV INC COM 337738108 241 1871 SH SOLE 1871 0 0 FLAHERTY & CRUMRINE TOTAL RE COM 338479108 6576 306157 SH SOLE 306157 0 0 FLAHERTY&CRMN PFD SEC INCOM COM 338478100 3679 171904 SH SOLE 171904 0 0 FLEXSHARES TR QUALT DIVD IDX 33939L860 301 7099 SH SOLE 7099 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 542 45306 SH SOLE 45306 0 0 FORTIVE CORP COM 34959J108 320 4519 SH SOLE 4519 0 0 FRANKLIN LTD DURATION INC TR COM 35472T101 820 68239 SH SOLE 68239 0 0 GAMCO GLOBAL GOLD NAT RES & COM SH BEN INT 36465A109 552 98377 SH SOLE 98377 0 0 GENERAL DYNAMICS CORP COM 369550108 249 1211 SH SOLE 1211 0 0 GENERAL ELECTRIC CO COM 369604103 1778 73546 SH SOLE 73546 0 0 GENERAL MTRS CO COM 37045V100 219 5420 SH SOLE 5420 0 0 GENWORTH FINL INC COM CL A 37247D106 51 13250 SH SOLE 13250 0 0 GERDAU S A SPON ADR REP PFD 373737105 453 132077 SH SOLE 132077 0 0 GILEAD SCIENCES INC COM 375558103 1337 16497 SH SOLE 16497 0 0 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 231 5698 SH SOLE 5698 0 0 GREEN PLAINS PARTNERS LP COM REP PTR IN 393221106 461 22957 SH SOLE 22957 0 0 HANCOCK JOHN INCOME SECS TR COM 410123103 221 14925 SH SOLE 14925 0 0 HANCOCK JOHN PFD INCOME FD SH BEN INT 41013W108 479 21842 SH SOLE 21842 0 0 HANCOCK JOHN PFD INCOME FD I COM 41021P103 1429 75992 SH SOLE 75992 0 0 HANNON ARMSTRONG SUST INFR C COM 41068X100 382 15658 SH SOLE 15658 0 0 HERCULES CAPITAL INC COM 427096508 296 22950 SH SOLE 22950 0 0 HERITAGE FINL CORP WASH COM 42722X106 2084 70654 SH SOLE 70654 0 0 HERSHEY CO COM 427866108 302 2766 SH SOLE 2766 0 0 HIGHLAND FDS I HI LD IBOXX SRLN 430101774 306 16725 SH SOLE 16725 0 0 HOEGH LNG PARTNERS LP COM UNIT LTD Y3262R100 939 50639 SH SOLE 50639 0 0 HOME DEPOT INC COM 437076102 1064 6505 SH SOLE 6505 0 0 HONEYWELL INTL INC COM 438516106 379 2674 SH SOLE 2674 0 0 HORIZON TECHNOLOGY FIN CORP COM 44045A102 118 10650 SH SOLE 10650 0 0 ILLINOIS TOOL WKS INC COM 452308109 258 1741 SH SOLE 1741 0 0 IMPAC MTG HLDGS INC COM NEW 45254P508 115 15500 SH SOLE 15500 0 0 INTEL CORP COM 458140100 1953 51276 SH SOLE 51276 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 568 3917 SH SOLE 3917 0 0 INVESCO TR INVT GRADE MUNS COM 46131M106 189 14070 SH SOLE 14070 0 0 ISHARES INC CORE MSCI EMKT 46434G103 1322 24468 SH SOLE 24468 0 0 ISHARES INC MSCI BRZ CAP ETF 464286400 1168 28026 SH SOLE 28026 0 0 ISHARES TR CORE MSCI EAFE 46432F842 224 3498 SH SOLE 3498 0 0 ISHARES TR CORE S&P MCP ETF 464287507 5477 30614 SH SOLE 30614 0 0 ISHARES TR CORE S&P SCP ETF 464287804 3438 46322 SH SOLE 46322 0 0 ISHARES TR CORE S&P500 ETF 464287200 5368 21223 SH SOLE 21223 0 0 ISHARES TR CORE US AGGBD ET 464287226 2619 23899 SH SOLE 23899 0 0 ISHARES TR EAFE SML CP ETF 464288273 571 9212 SH SOLE 9212 0 0 ISHARES TR GLOB HLTHCRE ETF 464287325 574 5104 SH SOLE 5104 0 0 ISHARES TR IBOXX HI YD ETF 464288513 280 3153 SH SOLE 3153 0 0 ISHARES TR JPMORGAN USD EMG 464288281 1342 11531 SH SOLE 11531 0 0 ISHARES TR MIN VOL USA ETF 46429B697 208 4139 SH SOLE 4139 0 0 ISHARES TR MRGSTR MD CP ETF 464288208 1191 6811 SH SOLE 6811 0 0 ISHARES TR MRGSTR MD CP VAL 464288406 906 6000 SH SOLE 6000 0 0 ISHARES TR MRNING SM CP ETF 464288703 657 4484 SH SOLE 4484 0 0 ISHARES TR MSCI AC ASIA ETF 464288182 965 13356 SH SOLE 13356 0 0 ISHARES TR MSCI EAFE ETF 464287465 2580 37674 SH SOLE 37674 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 2211 49346 SH SOLE 49346 0 0 ISHARES TR NASDAQ BIOTECH 464287556 716 2147 SH SOLE 2147 0 0 ISHARES TR RUS 1000 ETF 464287622 214 1531 SH SOLE 1531 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 6047 48351 SH SOLE 48351 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 6763 57068 SH SOLE 57068 0 0 ISHARES TR RUS 2000 GRW ETF 464287648 1434 8016 SH SOLE 8016 0 0 ISHARES TR RUS 2000 VAL ETF 464287630 958 7715 SH SOLE 7715 0 0 ISHARES TR RUS MD CP GR ETF 464287481 1411 12462 SH SOLE 12462 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 755 5096 SH SOLE 5096 0 0 ISHARES TR S&P 100 ETF 464287101 1257 11289 SH SOLE 11289 0 0 ISHARES TR S&P 500 GRWT ETF 464287309 925 6448 SH SOLE 6448 0 0 ISHARES TR S&P 500 VAL ETF 464287408 767 7111 SH SOLE 7111 0 0 ISHARES TR S&P MC 400VL ETF 464287705 893 5844 SH SOLE 5844 0 0 ISHARES TR S&P SML 600 GWT 464287887 565 3435 SH SOLE 3435 0 0 ISHARES TR S&P US PFD STK 464288687 1439 37073 SH SOLE 37073 0 0 ISHARES TR SELECT DIVID ETF 464287168 1988 21227 SH SOLE 21227 0 0 ISHARES TR SP SMCP600VL ETF 464287879 1507 10163 SH SOLE 10163 0 0 ISHARES TR TIPS BD ETF 464287176 1291 11367 SH SOLE 11367 0 0 ISHARES TR U.S. BAS MTL ETF 464287838 1139 11886 SH SOLE 11886 0 0 ISHARES TR U.S. ENERGY ETF 464287796 638 17050 SH SOLE 17050 0 0 JOHNSON & JOHNSON COM 478160104 2568 19756 SH SOLE 19756 0 0 JOHNSON CTLS INTL PLC SHS G51502105 388 9619 SH SOLE 9619 0 0 JPMORGAN CHASE & CO COM 46625H100 1458 15268 SH SOLE 15268 0 0 KAYNE ANDERSON MLP INVT CO COM 486606106 513 28209 SH SOLE 28209 0 0 KEYCORP NEW COM 493267108 654 34774 SH SOLE 34774 0 0 KINDER MORGAN INC DEL COM 49456B101 400 20831 SH SOLE 20831 0 0 KRAFT HEINZ CO COM 500754106 233 3000 SH SOLE 3000 0 0 LOCKHEED MARTIN CORP COM 539830109 374 1206 SH SOLE 1206 0 0 MACYS INC COM 55616P104 218 9987 SH SOLE 9987 0 0 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 250 3525 SH SOLE 3525 0 0 MAIDEN HOLDINGS LTD SHS G5753U112 239 30012 SH SOLE 30012 0 0 MANAGED DURATION INVT GRD FU COM 56165R103 1394 101071 SH SOLE 101071 0 0 MANNKIND CORP COM NEW 56400P706 25 11728 SH SOLE 11728 0 0 MASTERCARD INCORPORATED CL A 57636Q104 334 2366 SH SOLE 2366 0 0 MCDONALDS CORP COM 580135101 785 5011 SH SOLE 5011 0 0 MEDLEY CAP CORP COM 58503F106 150 25100 SH SOLE 25100 0 0 MEDTRONIC PLC SHS G5960L103 266 3425 SH SOLE 3425 0 0 MERCK & CO INC COM 58933Y105 838 13095 SH SOLE 13095 0 0 MFA FINL INC COM 55272X102 587 67025 SH SOLE 67025 0 0 MFS MULTIMARKET INCOME TR SH BEN INT 552737108 469 75213 SH SOLE 75213 0 0 MICRON TECHNOLOGY INC COM 595112103 385 9790 SH SOLE 9790 0 0 MICROSOFT CORP COM 594918104 14656 196747 SH SOLE 196747 0 0 MORGAN STANLEY EMER MKTS DEB COM 61744H105 321 31845 SH SOLE 31845 0 0 MYLAN N V SHS EURO N59465109 263 8392 SH SOLE 8392 0 0 NETFLIX INC COM 64110L106 445 2452 SH SOLE 2452 0 0 NEUBERGER BERMAN INTER MUNI COM 64124P101 800 52065 SH SOLE 52065 0 0 NEW MEDIA INVT GROUP INC COM 64704V106 672 45433 SH SOLE 45433 0 0 NEW RESIDENTIAL INVT CORP COM NEW 64828T201 4138 247346 SH SOLE 247346 0 0 NIKE INC CL B 654106103 425 8202 SH SOLE 8202 0 0 NORDSTROM INC COM 655664100 365 7750 SH SOLE 7750 0 0 NORTHROP GRUMMAN CORP COM 666807102 207 721 SH SOLE 721 0 0 NOVARTIS A G SPONSORED ADR 66987V109 383 4463 SH SOLE 4463 0 0 NOVAVAX INC COM 670002104 14 12000 SH SOLE 12000 0 0 NUVEEN AMT FREE MUN CR INC F COM 67071L106 605 39328 SH SOLE 39328 0 0 NUVEEN AMT FREE QLTY MUN INC COM 670657105 1214 87621 SH SOLE 87621 0 0 NUVEEN CA QUALTY MUN INCOME COM 67066Y105 207 13874 SH SOLE 13874 0 0 NUVEEN CR STRATEGIES INCM FD COM SHS 67073D102 1140 134255 SH SOLE 134255 0 0 NUVEEN MULTI MKT INCOME FD COM 67075J107 179 23614 SH SOLE 23614 0 0 NUVEEN MUNICIPAL CREDIT INC COM SH BEN INT 67070X101 640 42106 SH SOLE 42106 0 0 NUVEEN NEW YORK AMT QLT MUNI COM 670656107 657 49767 SH SOLE 49767 0 0 NUVEEN PFD & INCM OPPORTNYS COM 67073B106 154 14611 SH SOLE 14611 0 0 NUVEEN QUALITY MUNCP INCOME COM 67066V101 723 50978 SH SOLE 50978 0 0 NUVEEN REAL ASSET INC & GROW COM 67074Y105 2176 120909 SH SOLE 120909 0 0 NUVEEN SHT DUR CR OPP FD COM 67074X107 361 20758 SH SOLE 20758 0 0 NUVEEN SR INCOME FD COM 67067Y104 218 32639 SH SOLE 32639 0 0 NVIDIA CORP COM 67066G104 388 2168 SH SOLE 2168 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 221 3438 SH SOLE 3438 0 0 OCH ZIFF CAP MGMT GROUP CL A 67551U105 110 34229 SH SOLE 34229 0 0 OMEROS CORP COM 682143102 1006 46520 SH SOLE 46520 0 0 ORACLE CORP COM 68389X105 609 12603 SH SOLE 12603 0 0 PACCAR INC COM 693718108 2278 31494 SH SOLE 31494 0 0 PAYPAL HLDGS INC COM 70450Y103 313 4890 SH SOLE 4890 0 0 PEPSICO INC COM 713448108 563 5052 SH SOLE 5052 0 0 PFIZER INC COM 717081103 1946 54509 SH SOLE 54509 0 0 PHILIP MORRIS INTL INC COM 718172109 433 3901 SH SOLE 3901 0 0 PHILLIPS 66 COM 718546104 240 2622 SH SOLE 2622 0 0 PIMCO CORPORATE & INCOME OPP COM 72201B101 336 20050 SH SOLE 20050 0 0 PIMCO CORPORATE INCOME STRAT COM 72200U100 956 54820 SH SOLE 54820 0 0 PIONEER FLOATING RATE TR COM 72369J102 232 19401 SH SOLE 19401 0 0 POWERSHARES ETF TRUST DWA MOMENTUM PTF 73935X153 302 6217 SH SOLE 6217 0 0 POWERSHARES ETF TRUST II SENIOR LN PORT 73936Q769 1081 46692 SH SOLE 46692 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 7033 48356 SH SOLE 48356 0 0 PRAXAIR INC COM 74005P104 416 2974 SH SOLE 2974 0 0 PROCTER AND GAMBLE CO COM 742718109 2445 26869 SH SOLE 26869 0 0 PROSHARES TR ULTRA FNCLS NEW 74347X633 200 1774 SH SOLE 1774 0 0 PROSPECT CAPITAL CORPORATION COM 74348T102 122 18125 SH SOLE 18125 0 0 PUTNAM MASTER INTER INCOME T SH BEN INT 746909100 76 16000 SH SOLE 16000 0 0 PUTNAM MUN OPPORTUNITIES TR SH BEN INT 746922103 166 13172 SH SOLE 13172 0 0 QUALCOMM INC COM 747525103 646 12459 SH SOLE 12459 0 0 RAYTHEON CO COM NEW 755111507 349 1868 SH SOLE 1868 0 0 REALTY INCOME CORP COM 756109104 580 10142 SH SOLE 10142 0 0 RIO TINTO PLC SPONSORED ADR 767204100 343 7268 SH SOLE 7268 0 0 RITE AID CORP COM 767754104 26 13217 SH SOLE 13217 0 0 ROYAL BK CDA MONTREAL QUE COM 780087102 312 4028 SH SOLE 4028 0 0 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 405 6479 SH SOLE 6479 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 796 13145 SH SOLE 13145 0 0 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 4674 48917 SH SOLE 48917 0 0 SALESFORCE COM INC COM 79466L302 287 3069 SH SOLE 3069 0 0 SCHLUMBERGER LTD COM 806857108 455 6529 SH SOLE 6529 0 0 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 647 19319 SH SOLE 19319 0 0 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 257 3893 SH SOLE 3893 0 0 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 291 5608 SH SOLE 5608 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 213 3544 SH SOLE 3544 0 0 SCHWAB STRATEGIC TR US TIPS ETF 808524870 458 8294 SH SOLE 8294 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 265 10258 SH SOLE 10258 0 0 SHIP FINANCE INTERNATIONAL L SHS G81075106 371 25614 SH SOLE 25614 0 0 SONUS NETWORKS INC COM NEW 835916503 178 23290 SH SOLE 23290 0 0 SOUTHERN CO COM 842587107 412 8386 SH SOLE 8386 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 801 6590 SH SOLE 6590 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1768 7037 SH SOLE 7037 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 2008 6152 SH SOLE 6152 0 0 SPDR SER TR NUVEEN BRC MUNIC 78468R721 464 9477 SH SOLE 9477 0 0 SPDR SERIES TRUST BLOOMBERG BRCLYS 78464A417 1131 30309 SH SOLE 30309 0 0 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 346 2741 SH SOLE 2741 0 0 SPDR SERIES TRUST S&P DIVID ETF 78464A763 2005 21950 SH SOLE 21950 0 0 SPECIAL OPPORTUNITIES FD INC COM 84741T104 275 17369 SH SOLE 17369 0 0 SPROTT PHYSICAL GOLD TRUST UNIT 85207H104 148 14150 SH SOLE 14150 0 0 STARBUCKS CORP COM 855244109 4675 87035 SH SOLE 87035 0 0 STATOIL ASA SPONSORED ADR 85771P102 313 15580 SH SOLE 15580 0 0 STEALTHGAS INC SHS Y81669106 209 63275 SH SOLE 63275 0 0 STRYKER CORP COM 863667101 228 1605 SH SOLE 1605 0 0 TCW STRATEGIC INCOME FUND IN COM 872340104 272 46850 SH SOLE 46850 0 0 TEMPLETON EMERG MKTS INCOME COM 880192109 140 12136 SH SOLE 12136 0 0 TESLA INC COM 88160R101 768 2251 SH SOLE 2251 0 0 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADR 881624209 417 23696 SH SOLE 23696 0 0 TEXAS INSTRS INC COM 882508104 436 4864 SH SOLE 4864 0 0 TIME WARNER INC COM NEW 887317303 344 3362 SH SOLE 3362 0 0 TITAN INTL INC ILL COM 88830M102 146 14355 SH SOLE 14355 0 0 TRANSOCEAN LTD REG SHS H8817H100 203 18868 SH SOLE 18868 0 0 TURQUOISE HILL RES LTD COM 900435108 257 82886 SH SOLE 82886 0 0 TWITTER INC COM 90184L102 299 17748 SH SOLE 17748 0 0 UNION PAC CORP COM 907818108 946 8161 SH SOLE 8161 0 0 UNITED PARCEL SERVICE INC CL B 911312106 235 1959 SH SOLE 1959 0 0 UNITED TECHNOLOGIES CORP COM 913017109 348 2997 SH SOLE 2997 0 0 UNITEDHEALTH GROUP INC COM 91324P102 518 2644 SH SOLE 2644 0 0 UQM TECHNOLOGIES INC COM 903213106 56 48278 SH SOLE 48278 0 0 US BANCORP DEL COM NEW 902973304 8373 156246 SH SOLE 156246 0 0 VANECK VECTORS ETF TR COAL ETF 92189F809 662 45483 SH SOLE 45483 0 0 VANGUARD ADMIRAL FDS INC MIDCP 400 GRTH 921932869 488 3889 SH SOLE 3889 0 0 VANGUARD BD INDEX FD INC LONG TERM BOND 921937793 227 2420 SH SOLE 2420 0 0 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 4169 52231 SH SOLE 52231 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 6161 75167 SH SOLE 75167 0 0 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 1739 31855 SH SOLE 31855 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 10274 77391 SH SOLE 77391 0 0 VANGUARD INDEX FDS LARGE CAP ETF 922908637 3370 29199 SH SOLE 29199 0 0 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 2504 20569 SH SOLE 20569 0 0 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 247 2337 SH SOLE 2337 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 2846 19361 SH SOLE 19361 0 0 VANGUARD INDEX FDS REIT ETF 922908553 7693 92587 SH SOLE 92587 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 420 1818 SH SOLE 1818 0 0 VANGUARD INDEX FDS SM CP VAL ETF 922908611 1011 7911 SH SOLE 7911 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 3356 23746 SH SOLE 23746 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 900 6950 SH SOLE 6950 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 10620 106391 SH SOLE 106391 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 2213 41979 SH SOLE 41979 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 356 8166 SH SOLE 8166 0 0 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 506 4401 SH SOLE 4401 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 3095 38625 SH SOLE 38625 0 0 VANGUARD SCOTTSDALE FDS SHTRM GVT BD ETF 92206C102 388 6391 SH SOLE 6391 0 0 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 1069 11281 SH SOLE 11281 0 0 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 3096 71310 SH SOLE 71310 0 0 VANGUARD WHITEHALL FDS INC EMERG MKT BD ETF 921946885 458 5648 SH SOLE 5648 0 0 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 5391 66497 SH SOLE 66497 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 2017 40747 SH SOLE 40747 0 0 VISA INC COM CL A 92826C839 937 8908 SH SOLE 8908 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 402 5209 SH SOLE 5209 0 0 WAL-MART STORES INC COM 931142103 468 5983 SH SOLE 5983 0 0 WASTE MGMT INC DEL COM 94106L109 549 7016 SH SOLE 7016 0 0 WEATHERFORD INTL PLC ORD SHS G48833100 111 24184 SH SOLE 24184 0 0 WELLS FARGO CO NEW COM 949746101 511 9263 SH SOLE 9263 0 0 WELLS FARGO INCOME OPPORTUNI WF INC OPPTY FD 94987B105 88 10005 SH SOLE 10005 0 0 WELLS FARGO MULTI SECTOR INC COM 94987D101 4020 299563 SH SOLE 299563 0 0 WELLTOWER INC COM 95040Q104 672 9558 SH SOLE 9558 0 0 WESTERN ASSET EMRG MKT DEBT COM 95766A101 1065 67690 SH SOLE 67690 0 0 WESTPORT FUEL SYSTEMS INC COM NEW 960908309 74 22700 SH SOLE 22700 0 0 WEYERHAEUSER CO COM 962166104 334 9819 SH SOLE 9819 0 0 YPF SOCIEDAD ANONIMA SPON ADR CL D 984245100 397 17832 SH SOLE 17832 0 0