0001085146-16-004574.txt : 20161026 0001085146-16-004574.hdr.sgml : 20161026 20161026172058 ACCESSION NUMBER: 0001085146-16-004574 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161026 DATE AS OF CHANGE: 20161026 EFFECTIVENESS DATE: 20161026 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: 161953356 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 false false 0001655006 XXXXXXXX 09-30-2016 09-30-2016 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 10-26-2016 0 280 1318101 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3-D SYS CORP DEL COM NEW 88554D205 651 36284 SH SOLE 36284 0 0 3M CO COM 88579Y101 783 4445 SH SOLE 4445 0 0 ABERDEEN ASIA PACIFIC INCOM COM 003009107 737 143876 SH SOLE 143876 0 0 ACADIA PHARMACEUTICALS INC COM 004225108 217 6810 SH SOLE 6810 0 0 ADVISORSHARES TR PERITUS HG YLD 00768Y503 1448 41457 SH SOLE 41457 0 0 ADVISORY BRD CO COM 00762W107 209 4676 SH SOLE 4676 0 0 AEMETIS INC COM NEW 00770K202 174 161427 SH SOLE 161427 0 0 AFLAC INC COM 001055102 335 4657 SH SOLE 4657 0 0 AGRIUM INC COM 008916108 222 2449 SH SOLE 2449 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 987 9327 SH SOLE 9327 0 0 ALLERGAN PLC SHS G0177J108 863 2817 SH SOLE 2817 0 0 ALLIANCEBERNSTEIN GBL HGH IN COM 01879R106 1195 94788 SH SOLE 94788 0 0 ALPHABET INC CAP STK CL A 02079K305 1375 1710 SH SOLE 1710 0 0 ALPHABET INC CAP STK CL C 02079K107 848 1091 SH SOLE 1091 0 0 ALTRIA GROUP INC COM 02209S103 1309 20696 SH SOLE 20696 0 0 AMAZON COM INC COM 023135106 2706 3232 SH SOLE 3232 0 0 AMBARELLA INC SHS G037AX101 397 5399 SH SOLE 5399 0 0 AMERICAN EXPRESS CO COM 025816109 401 6264 SH SOLE 6264 0 0 AMERIGAS PARTNERS L P UNIT L P INT 030975106 315 6890 SH SOLE 6890 0 0 AMGEN INC COM 031162100 516 3092 SH SOLE 3092 0 0 AMIRA NATURE FOODS LTD SHS G0335L102 349 42100 SH SOLE 42100 0 0 ANI PHARMACEUTICALS INC COM 00182C103 841 12679 SH SOLE 12679 0 0 ANNALY CAP MGMT INC COM 035710409 933 88810 SH SOLE 88810 0 0 ANWORTH MORTGAGE ASSET CP COM 037347101 695 141350 SH SOLE 141350 0 0 APPLE INC COM 037833100 8159 72174 SH SOLE 72174 0 0 ARALEZ PHARMACEUTICALS INC COM 03852X100 228 47100 SH SOLE 47100 0 0 ARES CAP CORP COM 04010L103 234 15081 SH SOLE 15081 0 0 AT&T INC COM 00206R102 1362 33527 SH SOLE 33527 0 0 BANK AMER CORP COM 060505104 1582 101083 SH SOLE 101083 0 0 BANK HAWAII CORP COM 062540109 726 10000 SH SOLE 10000 0 0 BANK MONTREAL QUE COM 063671101 434 6619 SH SOLE 6619 0 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 216 1 SH SOLE 1 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 3091 17345 SH SOLE 17345 0 0 BLACKROCK CORE BD TR SHS BEN INT 09249E101 400 28150 SH SOLE 28150 0 0 BLACKROCK CR ALLCTN INC TR COM 092508100 8895 666268 SH SOLE 666268 0 0 BLACKROCK DEBT STRAT FD INC COM 09255R103 71 19321 SH SOLE 19321 0 0 BLACKROCK FLOATING RATE INCO COM 091941104 450 33261 SH SOLE 33261 0 0 BLACKROCK MUN 2020 TERM TR COM SHS 09249X109 1810 109857 SH SOLE 109857 0 0 BLACKROCK MUNI INTER DR FD I COM 09253X102 549 36200 SH SOLE 36200 0 0 BLACKROCK MUNI N Y INTER DUR COM 09255F109 416 27000 SH SOLE 27000 0 0 BLACKROCK MUNIHLDNGS QLTY II COM 09254C107 1304 88305 SH SOLE 88305 0 0 BLACKROCK MUNIY QUALITY FD I COM 09254G108 636 44885 SH SOLE 44885 0 0 BLACKROCK MUNIYIELD QUALITY COM 09254F100 275 16650 SH SOLE 16650 0 0 BOEING CO COM 097023105 3956 30027 SH SOLE 30027 0 0 BP PLC SPONSORED ADR 055622104 1159 32956 SH SOLE 32956 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 836 15503 SH SOLE 15503 0 0 CALAMOS CONV OPP AND INC FD SH BEN INT 128117108 196 19007 SH SOLE 19007 0 0 CBS CORP NEW CL B 124857202 513 9370 SH SOLE 9370 0 0 CELGENE CORP COM 151020104 204 1953 SH SOLE 1953 0 0 CHENIERE ENERGY INC PUT 16411Q101 300000 10000 SH Put SOLE 10000 0 0 CHESAPEAKE ENERGY CORP COM 165167107 297 47336 SH SOLE 47336 0 0 CHEVRON CORP NEW COM 166764100 2617 25428 SH SOLE 25428 0 0 CHIMERA INVT CORP COM NEW 16934Q208 1016 63688 SH SOLE 63688 0 0 CIENA CORP COM NEW 171779309 247 11320 SH SOLE 11320 0 0 CISCO SYS INC COM 17275R102 940 29628 SH SOLE 29628 0 0 CITIGROUP INC COM NEW 172967424 512 10832 SH SOLE 10832 0 0 CLOROX CO DEL COM 189054109 501 4000 SH SOLE 4000 0 0 COCA COLA CO COM 191216100 258 6104 SH SOLE 6104 0 0 COLUMBIA BKG SYS INC COM 197236102 335 10246 SH SOLE 10246 0 0 COMCAST CORP NEW CL A 20030N101 1110 16739 SH SOLE 16739 0 0 COMPANHIA DE SANEAMENTO BASI SPONSORED ADR 20441A102 541 58435 SH SOLE 58435 0 0 CONE MIDSTREAM PARTNERS LP COM UNIT REPST 206812109 1187 65571 SH SOLE 65571 0 0 CONOCOPHILLIPS COM 20825C104 363 8353 SH SOLE 8353 0 0 COSTCO WHSL CORP NEW COM 22160K105 2259 14814 SH SOLE 14814 0 0 CRH MEDICAL CORP COM 12626F105 2090 548514 SH SOLE 548514 0 0 CURRENCYSHS BRIT POUND STER CALL 23129S906 390000 3000 SH Call SOLE 3000 0 0 DANAHER CORP DEL COM 235851102 670 8552 SH SOLE 8552 0 0 DISNEY WALT CO COM DISNEY 254687106 780 8395 SH SOLE 8395 0 0 DOUBLELINE INCOME SOLUTIONS COM 258622109 448 23373 SH SOLE 23373 0 0 DOW CHEM CO COM 260543103 730 14076 SH SOLE 14076 0 0 DREYFUS STRATEGIC MUNS INC COM 261932107 122 13000 SH SOLE 13000 0 0 DU PONT E I DE NEMOURS & CO COM 263534109 485 7236 SH SOLE 7236 0 0 EATON CORP PLC SHS G29183103 458 6966 SH SOLE 6966 0 0 EATON VANCE LTD DUR INCOME F COM 27828H105 194 14115 SH SOLE 14115 0 0 EATON VANCE SH TM DR DIVR IN COM 27828V104 319 23235 SH SOLE 23235 0 0 ENABLE MIDSTREAM PARTNERS LP COM UNIT RP IN 292480100 1018 66782 SH SOLE 66782 0 0 ENCANA CORP PUT 292505104 100000 20000 SH Put SOLE 20000 0 0 ENERGY TRANSFER PRTNRS L P UNIT LTD PARTN 29273R109 232 6267 SH SOLE 6267 0 0 ENTERPRISE PRODS PARTNERS L COM 293792107 456 16494 SH SOLE 16494 0 0 EQUIFAX INC COM 294429105 538 4000 SH SOLE 4000 0 0 EXXON MOBIL CORP COM 30231G102 2359 27023 SH SOLE 27023 0 0 FACEBOOK INC CL A 30303M102 2396 18678 SH SOLE 18678 0 0 FERRELLGAS PARTNERS L.P. 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ET 464287226 2658 23646 SH SOLE 23646 0 0 ISHARES TR EAFE SML CP ETF 464288273 302 5753 SH SOLE 5753 0 0 ISHARES TR GLOB HLTHCRE ETF 464287325 531 5271 SH SOLE 5271 0 0 ISHARES TR JP MOR EM MK ETF 464288281 1333 11373 SH SOLE 11373 0 0 ISHARES TR MRG RL ES CP ETF 464288539 180 17093 SH SOLE 17093 0 0 ISHARES TR MRGSTR MD CP ETF 464288208 672 4353 SH SOLE 4353 0 0 ISHARES TR MRNING SM CP ETF 464288703 351 2690 SH SOLE 2690 0 0 ISHARES TR MSCI AC ASIA ETF 464288182 761 12572 SH SOLE 12572 0 0 ISHARES TR MSCI EAFE ETF 464287465 1231 20817 SH SOLE 20817 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 794 21197 SH SOLE 21197 0 0 ISHARES TR NASDQ BIOTEC ETF 464287556 642 2217 SH SOLE 2217 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 5219 50098 SH SOLE 50098 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 5360 50748 SH SOLE 50748 0 0 ISHARES TR RUS 2000 GRW ETF 464287648 1146 7699 SH SOLE 7699 0 0 ISHARES TR RUS 2000 VAL ETF 464287630 833 7955 SH SOLE 7955 0 0 ISHARES TR RUS MD CP GR ETF 464287481 1057 10855 SH SOLE 10855 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 201 1616 SH SOLE 1616 0 0 ISHARES TR S&P 100 ETF 464287101 500 5216 SH SOLE 5216 0 0 ISHARES TR S&P MC 400VL ETF 464287705 336 2529 SH SOLE 2529 0 0 ISHARES TR SELECT DIVID ETF 464287168 1953 22786 SH SOLE 22786 0 0 ISHARES TR SP SMCP600VL ETF 464287879 753 6032 SH SOLE 6032 0 0 ISHARES TR TIPS BD ETF 464287176 1157 9935 SH SOLE 9935 0 0 ISHARES TR U.S. BAS MTL ETF 464287838 1361 17233 SH SOLE 17233 0 0 ISHARES TR U.S. ENERGY ETF 464287796 665 17062 SH SOLE 17062 0 0 JOHNSON & JOHNSON COM 478160104 1279 10831 SH SOLE 10831 0 0 JOHNSON CTLS INTL PLC SHS G51502105 445 9564 SH SOLE 9564 0 0 JPMORGAN CHASE & CO COM 46625H100 1072 16100 SH SOLE 16100 0 0 KAYNE ANDERSON MLP INVT CO COM 486606106 361 17484 SH SOLE 17484 0 0 KEYCORP NEW COM 493267108 386 31720 SH SOLE 31720 0 0 KIMBERLY CLARK CORP COM 494368103 208 1649 SH SOLE 1649 0 0 KINDER MORGAN INC DEL COM 49456B101 421 18216 SH SOLE 18216 0 0 KRAFT HEINZ CO COM 500754106 251 2804 SH SOLE 2804 0 0 LINEAR TECHNOLOGY CORP COM 535678106 242 4085 SH SOLE 4085 0 0 LOWES COS INC COM 548661107 206 2851 SH SOLE 2851 0 0 MACYS INC COM 55616P104 268 7239 SH SOLE 7239 0 0 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 239 3381 SH SOLE 3381 0 0 MAIDEN HOLDINGS LTD SHS G5753U112 348 27432 SH SOLE 27432 0 0 MANNKIND CORP COM 56400P201 30 48802 SH SOLE 48802 0 0 MASTERCARD INCORPORATED CL A 57636Q104 392 3853 SH SOLE 3853 0 0 MCDONALDS CORP COM 580135101 932 8079 SH SOLE 8079 0 0 MEDLEY CAP CORP COM 58503F106 250 32700 SH SOLE 32700 0 0 MEDTRONIC PLC SHS G5960L103 275 3184 SH SOLE 3184 0 0 MERCK & CO INC COM 58933Y105 602 9653 SH SOLE 9653 0 0 MFA FINL INC COM 55272X102 501 67025 SH SOLE 67025 0 0 MFS MULTIMARKET INCOME TR SH BEN INT 552737108 410 67306 SH SOLE 67306 0 0 MICRON TECHNOLOGY INC COM 595112103 225 12654 SH SOLE 12654 0 0 MICROSOFT CORP COM 594918104 11411 198106 SH SOLE 198106 0 0 MONDELEZ INTL INC CL A 609207105 204 4650 SH SOLE 4650 0 0 MORGAN STANLEY EMER MKTS DEB COM 61744H105 307 31845 SH SOLE 31845 0 0 NETFLIX INC COM 64110L106 398 4042 SH SOLE 4042 0 0 NEUBERGER BERMAN INTER MUNI COM 64124P101 864 52065 SH SOLE 52065 0 0 NEW MEDIA INVT GROUP INC COM 64704V106 791 51008 SH SOLE 51008 0 0 NEW MTN FIN CORP COM 647551100 151 11000 SH SOLE 11000 0 0 NEW RESIDENTIAL INVT CORP COM NEW 64828T201 3658 264860 SH SOLE 264860 0 0 NIKE INC CL B 654106103 338 6424 SH SOLE 6424 0 0 NORDSTROM INC COM 655664100 457 8812 SH SOLE 8812 0 0 NOVARTIS A G SPONSORED ADR 66987V109 282 3574 SH SOLE 3574 0 0 NUVEEN AMT FREE QLTY MUN INC COM 670657105 1270 87002 SH SOLE 87002 0 0 NUVEEN CR STRATEGIES INCM FD COM SHS 67073D102 1166 137555 SH SOLE 137555 0 0 NUVEEN ENHANCED AMT FREE MUN COM 67071L106 613 38120 SH SOLE 38120 0 0 NUVEEN ENHANCED MUN CREDIT O COM SH BEN INT 67070X101 577 36645 SH SOLE 36645 0 0 NUVEEN MULTI MKT INCOME FD COM 67075J107 93 12416 SH SOLE 12416 0 0 NUVEEN NY AMT FREE MUN INCOM COM 670656107 703 49767 SH SOLE 49767 0 0 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16598 0 0 PUTNAM MUN OPPORTUNITIES TR SH BEN INT 746922103 176 13172 SH SOLE 13172 0 0 QUALCOMM INC COM 747525103 878 12820 SH SOLE 12820 0 0 REALTY INCOME CORP COM 756109104 861 12866 SH SOLE 12866 0 0 RIO TINTO PLC SPONSORED ADR 767204100 254 7600 SH SOLE 7600 0 0 ROYAL BK CDA MONTREAL QUE COM 780087102 380 6128 SH SOLE 6128 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 693 13837 SH SOLE 13837 0 0 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 6771 81000 SH SOLE 81000 0 0 SCHLUMBERGER LTD COM 806857108 572 7276 SH SOLE 7276 0 0 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 241 8373 SH SOLE 8373 0 0 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 341 6149 SH SOLE 6149 0 0 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 403 8845 SH SOLE 8845 0 0 SCHWAB STRATEGIC TR US TIPS ETF 808524870 375 6561 SH SOLE 6561 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 301 6307 SH SOLE 6307 0 0 SHIP FINANCE INTERNATIONAL L SHS G81075106 298 20222 SH SOLE 20222 0 0 SONUS NETWORKS INC COM NEW 835916503 216 27711 SH SOLE 27711 0 0 SOUTHERN CO COM 842587107 385 7507 SH SOLE 7507 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1277 5905 SH SOLE 5905 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 2736 9692 SH SOLE 9692 0 0 SPDR SER TR SP500 HIGH DIV 78468R788 297 8659 SH SOLE 8659 0 0 SPDR SERIES TRUST BRC HGH YLD BD 78464A417 943 25680 SH SOLE 25680 0 0 SPROTT PHYSICAL GOLD TRUST UNIT 85207H104 311 28375 SH SOLE 28375 0 0 STARBUCKS CORP COM 855244109 4965 91715 SH SOLE 91715 0 0 STATOIL ASA SPONSORED ADR 85771P102 232 13780 SH SOLE 13780 0 0 STEALTHGAS INC SHS Y81669106 266 76525 SH SOLE 76525 0 0 STRYKER CORP COM 863667101 223 1919 SH SOLE 1919 0 0 TCW STRATEGIC INCOME FUND IN COM 872340104 271 51150 SH SOLE 51150 0 0 TEMPLETON EMERG MKTS INCOME COM 880192109 211 19154 SH SOLE 19154 0 0 TEXAS INSTRS INC COM 882508104 304 4325 SH SOLE 4325 0 0 TIME WARNER INC COM NEW 887317303 296 3719 SH SOLE 3719 0 0 TITAN INTL INC ILL COM 88830M102 158 15580 SH SOLE 15580 0 0 TRANSOCEAN LTD REG SHS H8817H100 186 17407 SH SOLE 17407 0 0 TURQUOISE HILL RES LTD COM 900435108 267 89786 SH SOLE 89786 0 0 TWILIO INC CL A 90138F102 203 3150 SH SOLE 3150 0 0 TWITTER INC COM 90184L102 346 15028 SH SOLE 15028 0 0 U S GEOTHERMAL INC COM 90338S102 7 10000 SH SOLE 10000 0 0 UNION PAC CORP COM 907818108 646 6624 SH SOLE 6624 0 0 UNITED PARCEL SERVICE INC CL B 911312106 230 2107 SH SOLE 2107 0 0 UNITED TECHNOLOGIES CORP COM 913017109 276 2717 SH SOLE 2717 0 0 UNITEDHEALTH GROUP INC COM 91324P102 372 2657 SH SOLE 2657 0 0 UQM TECHNOLOGIES INC COM 903213106 29 46978 SH SOLE 46978 0 0 US BANCORP DEL COM NEW 902973304 4274 99651 SH SOLE 99651 0 0 VALEANT PHARMACEUTICALS INTL PUT 91911K102 100000 10000 SH Put SOLE 10000 0 0 VANECK VECTORS ETF TR COAL ETF 92189F809 1016 86141 SH SOLE 86141 0 0 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 3467 42893 SH SOLE 42893 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 5741 68236 SH SOLE 68236 0 0 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 1469 26205 SH SOLE 26205 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 8377 74599 SH SOLE 74599 0 0 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 1194 11219 SH SOLE 11219 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 271 2092 SH SOLE 2092 0 0 VANGUARD INDEX FDS REIT ETF 922908553 4722 54438 SH SOLE 54438 0 0 VANGUARD INDEX FDS SM CP VAL ETF 922908611 655 5920 SH SOLE 5920 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 2120 17354 SH SOLE 17354 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 616 5531 SH SOLE 5531 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 8448 97104 SH SOLE 97104 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 1826 40185 SH SOLE 40185 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 271 7204 SH SOLE 7204 0 0 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 343 3446 SH SOLE 3446 0 0 VANGUARD NAT RES LLC COM UNIT 92205F106 22 24361 SH SOLE 24361 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 383 4756 SH SOLE 4756 0 0 VANGUARD SCOTTSDALE FDS SHTRM GVT BD ETF 92206C102 399 6516 SH SOLE 6516 0 0 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 745 8875 SH SOLE 8875 0 0 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 2366 63236 SH SOLE 63236 0 0 VANGUARD WHITEHALL FDS INC EMERG MKT BD ETF 921946885 224 2750 SH SOLE 2750 0 0 VECTOR GROUP LTD COM 92240M108 688 31977 SH SOLE 31977 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 1708 32857 SH SOLE 32857 0 0 VISA INC COM CL A 92826C839 349 4223 SH SOLE 4223 0 0 WEATHERFORD INTL PLC ORD SHS G48833100 200 35649 SH SOLE 35649 0 0 WELLS FARGO & CO NEW COM 949746101 440 9941 SH SOLE 9941 0 0 WELLS FARGO MULTI SECTOR INC WF MLT SECTR INC 94987D101 4356 335865 SH SOLE 335865 0 0 WELLTOWER INC COM 95040Q104 703 9405 SH SOLE 9405 0 0 WESTERN ASSET EMRG MKT DEBT COM 95766A101 1072 65902 SH SOLE 65902 0 0 WESTERN ASSET MTG DEF OPPTY COM 95790B109 360 15074 SH SOLE 15074 0 0 WEYERHAEUSER CO COM 962166104 321 10059 SH SOLE 10059 0 0 YPF SOCIEDAD ANONIMA SPON ADR CL D 984245100 325 17832 SH SOLE 17832 0 0