Chief Compliance Officer

0001085146-15-000310.txt : 20150210 0001085146-15-000310.hdr.sgml : 20150210 20150209185930 ACCESSION NUMBER: 0001085146-15-000310 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20141231 FILED AS OF DATE: 20150210 DATE AS OF CHANGE: 20150209 EFFECTIVENESS DATE: 20150210 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Empirical Financial Services, LLC CENTRAL INDEX KEY: 0001510434 IRS NUMBER: 272114998 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14067 FILM NUMBER: 15589947 BUSINESS ADDRESS: STREET 1: 1420 5TH AVE SUITE 3150 CITY: SEATTLE STATE: WA ZIP: 98101 BUSINESS PHONE: 2069233474 MAIL ADDRESS: STREET 1: 1420 5TH AVE SUITE 3150 CITY: SEATTLE STATE: WA ZIP: 98101 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001510434 XXXXXXXX 12-31-2014 12-31-2014 false Empirical Financial Services, LLC

1420 5TH AVE SUITE 3150 SEATTLE WA 98101

13F HOLDINGS REPORT 028-14067 N Jamie White Chief Compliance Officer 503-808-9005 /s/ Jamie White Portland OR 02-08-2015 0 100 409413 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M CO COM 88579Y101 742 4517 SH SOLE 1 0 0 4517 AMERICAN EXPRESS CO COM 025816109 225 2421 SH SOLE 1 0 0 2421 AMGEN INC COM 031162100 520 3267 SH SOLE 1 0 0 3267 APPLE INC COM 037833100 1826 16547 SH SOLE 1 0 0 16547 BANK AMER CORP COM 060505104 529 29547 SH SOLE 1 0 0 29547 BARCLAYS BK PLC IPSPGS TTL ETN 06738C794 11915 564684 SH SOLE 1 0 0 564684 BERKSHIRE HATHAWAY INC DEL CL A 084670108 226 1 SH SOLE 1 0 0 100 BOEING CO COM 097023105 303 2334 SH SOLE 1 0 0 2334 CHEVRON CORP NEW COM 166764100 551 4908 SH SOLE 1 0 0 4908 CLAYMORE EXCHANGE TRD FD TR GUGG BULSH 2021 18383M266 873 41839 SH SOLE 1 0 0 41839 CLAYMORE EXCHANGE TRD FD TR GUG BUL 2019 HY 18383M373 644 25859 SH SOLE 1 0 0 25859 CLAYMORE EXCHANGE TRD FD TR GUG BLT2018 HY 18383M381 692 26907 SH SOLE 1 0 0 26907 CLAYMORE EXCHANGE TRD FD TR GUG BLT2017 HY 18383M399 737 28389 SH SOLE 1 0 0 28389 CLAYMORE EXCHANGE TRD FD TR GUG BLT2016 HY 18383M415 763 29454 SH SOLE 1 0 0 29454 CLAYMORE EXCHANGE TRD FD TR GUGG BULL 2015 18383M423 773 29881 SH SOLE 1 0 0 29881 CLAYMORE EXCHANGE TRD FD TR GUG BULL2020 E 18383M514 2293 108724 SH SOLE 1 0 0 108724 CLAYMORE EXCHANGE TRD FD TR GUG BULL2019 E 18383M522 2319 110904 SH SOLE 1 0 0 110904 CLAYMORE EXCHANGE TRD FD TR GUG BULL2018 E 18383M530 2489 117862 SH SOLE 1 0 0 117862 CLAYMORE EXCHANGE TRD FD TR GUGG CRP BD 2017 18383M548 2625 115571 SH SOLE 1 0 0 115571 CLAYMORE EXCHANGE TRD FD TR GUGG CRP BD 2016 18383M555 2774 125537 SH SOLE 1 0 0 125537 CLAYMORE EXCHANGE TRD FD TR GUGG CRP BD 2015 18383M563 2674 123372 SH SOLE 1 0 0 123372 COCA COLA CO COM 191216100 278 6583 SH SOLE 1 0 0 6583 CONOCOPHILLIPS COM 20825C104 340 4922 SH SOLE 1 0 0 4922 COSTCO WHSL CORP NEW COM 22160K105 300 2115 SH SOLE 1 0 0 2115 COTT CORP QUE COM 22163N106 220 32000 SH SOLE 1 0 0 32000 DISNEY WALT CO COM DISNEY 254687106 308 3272 SH SOLE 1 0 0 3272 EXXON MOBIL CORP COM 30231G102 393 4250 SH SOLE 1 0 0 4250 GENERAL ELECTRIC CO COM 369604103 741 29335 SH SOLE 1 0 0 29335 GILEAD SCIENCES INC COM 375558103 259 2748 SH SOLE 1 0 0 2748 INTERNATIONAL BUSINESS MACHS COM 459200101 254 1582 SH SOLE 1 0 0 1582 ISHARES MSCI FRNTR100ETF 464286145 2392 77672 SH SOLE 1 0 0 77672 ISHARES EAFE SML CP ETF 464288273 1360 29106 SH SOLE 1 0 0 29106 ISHARES CALI AMT-FRE ETF 464288356 236 2006 SH SOLE 1 0 0 2006 ISHARES NAT AMT FREE BD 464288414 5473 49598 SH SOLE 1 0 0 49598 ISHARES INTL DEVPPTY ETF 464288422 961 26530 SH SOLE 1 0 0 26530 ISHARES 1-3 YR CR BD ETF 464288646 1366 12988 SH SOLE 1 0 0 12988 ISHARES 3-7 YR TR BD ETF 464288661 611 4993 SH SOLE 1 0 0 4993 ISHARES MICRO-CAP ETF 464288869 1199 15580 SH SOLE 1 0 0 15580 ISHARES EAFE VALUE ETF 464288877 250 4900 SH SOLE 1 0 0 4900 ISHARES INC CORE MSCI EMKT 46434G103 10984 233556 SH SOLE 1 0 0 233556 ISHARES TR TIPS BD ETF 464287176 7709 68820 SH SOLE 1 0 0 68820 ISHARES TR CORE S&P500 ETF 464287200 829 4006 SH SOLE 1 0 0 4006 ISHARES TR CORE US AGGBD ET 464287226 1817 16498 SH SOLE 1 0 0 16498 ISHARES TR MSCI EMG MKT ETF 464287234 890 22645 SH SOLE 1 0 0 22645 ISHARES TR IBOXX INV CP ETF 464287242 210 1760 SH SOLE 1 0 0 1760 ISHARES TR 1-3 YR TR BD ETF 464287457 25556 302612 SH SOLE 1 0 0 302612 ISHARES TR MSCI EAFE ETF 464287465 2110 34676 SH SOLE 1 0 0 34676 ISHARES TR CORE S&P SCP ETF 464287804 292 2557 SH SOLE 1 0 0 2557 ISHARES TR CORE MSCI EAFE 46432F842 1473 26630 SH SOLE 1 0 0 26630 JOHNSON & JOHNSON COM 478160104 258 2465 SH SOLE 1 0 0 2465 MARKET VECTORS ETF TR MKTVEC INTMUETF 57060U845 1446 61078 SH SOLE 1 0 0 61078 MARKET VECTORS ETF TR HG YLD MUN ETF 57060U878 1489 48269 SH SOLE 1 0 0 48269 MICROSOFT CORP COM 594918104 1700 36592 SH SOLE 1 0 0 36592 OPKO HEALTH INC COM 68375N103 200 20000 SH SOLE 1 0 0 20000 PETROLEUM & RES CORP COM 716549100 276 11593 SH SOLE 1 0 0 11593 PIMCO ETF TR 1-3YR USTREIDX 72201R106 5005 98179 SH SOLE 1 0 0 98179 PIMCO ETF TR BROAD US TIPS 72201R403 377 6614 SH SOLE 1 0 0 6614 PIMCO ETF TR 0-5 HIGH YIELD 72201R783 7150 70912 SH SOLE 1 0 0 70912 POWERSHARES GLOBAL ETF TRUST WK VRDO TX FR 73936T433 347 13901 SH SOLE 1 0 0 13901 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 244 2360 SH SOLE 1 0 0 2360 PROCTER & GAMBLE CO COM 742718109 897 9845 SH SOLE 1 0 0 9845 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 214 2671 SH SOLE 1 0 0 2671 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 32064 653703 SH SOLE 1 0 0 653703 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 3543 148263 SH SOLE 1 0 0 148263 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 1817 62854 SH SOLE 1 0 0 62854 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 3933 75121 SH SOLE 1 0 0 75121 SCHWAB STRATEGIC TR US TIPS ETF 808524870 9235 170259 SH SOLE 1 0 0 170259 SOUTHWEST AIRLS CO COM 844741108 273 6460 SH SOLE 1 0 0 6460 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 748 15671 SH SOLE 1 0 0 15671 SPDR INDEX SHS FDS S&P EMKTSC ETF 78463X756 694 15643 SH SOLE 1 0 0 15643 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 349 8311 SH SOLE 1 0 0 8311 SPDR S&P 500 ETF TR TR UNIT 78462F103 1132 5505 SH SOLE 1 0 0 5505 SPDR SER TR SHT TRM HGH YLD 78468R408 8401 290597 SH SOLE 1 0 0 290597 SPDR SERIES TRUST NUV HGHYLD MUN 78464A284 4228 73316 SH SOLE 1 0 0 73316 SPDR SERIES TRUST INTR TRM CORP BD 78464A375 1142 33403 SH SOLE 1 0 0 33403 SPDR SERIES TRUST BRCLY EM LOCL 78464A391 2597 91409 SH SOLE 1 0 0 91409 SPDR SERIES TRUST NUVN BR SHT MUNI 78464A425 1586 65296 SH SOLE 1 0 0 65296 SPDR SERIES TRUST BARC SHT TR CP 78464A474 459 15015 SH SOLE 1 0 0 15015 SPDR SERIES TRUST DJ REIT ETF 78464A607 1667 18335 SH SOLE 1 0 0 18335 SPDR SERIES TRUST S&P DIVID ETF 78464A763 245 3105 SH SOLE 1 0 0 3105 STARBUCKS CORP COM 855244109 519 6327 SH SOLE 1 0 0 6327 TWITTER INC COM 90184L102 775 21592 SH SOLE 1 0 0 21592 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 1427 17852 SH SOLE 1 0 0 17852 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 335 4072 SH SOLE 1 0 0 4072 VANGUARD INDEX FDS REIT ETF 922908553 18464 227945 SH SOLE 1 0 0 227945 VANGUARD INDEX FDS LARGE CAP ETF 922908637 11250 119188 SH SOLE 1 0 0 119188 VANGUARD INDEX FDS VALUE ETF 922908744 725 8578 SH SOLE 1 0 0 8578 VANGUARD INDEX FDS TOTAL STK MKT 922908769 4526 42702 SH SOLE 1 0 0 42702 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 2081 38884 SH SOLE 1 0 0 38884 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 1368 22748 SH SOLE 1 0 0 22748 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 367 9176 SH SOLE 1 0 0 9176 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 20769 430540 SH SOLE 1 0 0 430540 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 80601 1012192 SH SOLE 1 0 0 1012192 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 49898 579538 SH SOLE 1 0 0 579538 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 14506 382955 SH SOLE 1 0 0 382955 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 741 10785 SH SOLE 1 0 0 10785 WISDOMTREE TR EMERG MKTS ETF 97717W315 395 9371 SH SOLE 1 0 0 9371 WISDOMTREE TR SMALLCAP DIVID 97717W604 438 6182 SH SOLE 1 0 0 6182 WISDOMTREE TR INTL SMCAP DIV 97717W760 297 5341 SH SOLE 1 0 0 5341 WISDOMTREE TR EM LCL DEBT FD 97717X867 911 21894 SH SOLE 1 0 0 21894