0001085146-17-000340.txt : 20170208 0001085146-17-000340.hdr.sgml : 20170208 20170207211916 ACCESSION NUMBER: 0001085146-17-000340 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170208 DATE AS OF CHANGE: 20170207 EFFECTIVENESS DATE: 20170208 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: 17580762 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 false false 0001510434 XXXXXXXX 12-31-2016 12-31-2016 Empirical Financial Services, LLC

1420 5TH AVE SUITE 3150 SEATTLE WA 98101

13F HOLDINGS REPORT 028-14067 N James A. Jones II 206 923-3474 /s/ James A. Jones II Seatlle WA 02-06-2017 0 123 407432 false INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M COCOM88579Y1014572558SHSOLE 255800ALASKA AIR GROUP INCCOM0116591092312602SHSOLE 260200ALPHABET INCCAP STK CL A02079K305207261SHSOLE 26100AMAZON COM INCCOM023135106714952SHSOLE 95200AMGEN INCCOM0311621004673192SHSOLE 319200APPLE INCCOM037833100248121424SHSOLE 2142400AT&T INCCOM00206R10248711447SHSOLE 1144700AUTOMATIC DATA PROCESSING INCOM0530151032432360SHSOLE 236000BANK AMER CORPCOM06050510470531889SHSOLE 3188900BERKSHIRE HATHAWAY INC DELCL A0846701082441SHSOLE 10000BOEING COCOM0970231057835028SHSOLE 502800CAMDEN NATL CORPCOM133034108239753919SHSOLE 5391900CHEVRON CORP NEWCOM166764100126510747SHSOLE 1074700CLAYMORE EXCHANGE TRD FD TR2022 HG YLD CB18383M2172028092SHSOLE 809200CLAYMORE EXCHANGE TRD FD TR2021 HG YLD CB18383M225104442262SHSOLE 4226200CLAYMORE EXCHANGE TRD FD TRGUGG BULSH 202218383M258158075518SHSOLE 7551800CLAYMORE EXCHANGE TRD FD TRGUGG BULSH 202118383M266158475450SHSOLE 7545000CLAYMORE EXCHANGE TRD FD TRGUG BUL 2020 HY18383M365104342982SHSOLE 4298200CLAYMORE EXCHANGE TRD FD TRGUG BUL 2019 HY18383M373113346920SHSOLE 4692000CLAYMORE EXCHANGE TRD FD TRGUG BLT2018 HY18383M381113645100SHSOLE 4510000CLAYMORE EXCHANGE TRD FD TRGUG BLT2017 HY18383M399107341563SHSOLE 4156300CLAYMORE EXCHANGE TRD FD TRGUG BULL2020 E18383M514208998528SHSOLE 9852800CLAYMORE EXCHANGE TRD FD TRGUG BULL2019 E18383M5222148101594SHSOLE 10159400CLAYMORE EXCHANGE TRD FD TRGUG BULL2018 E18383M5302220104807SHSOLE 10480700CLAYMORE EXCHANGE TRD FD TRGUGG CRP BD 201718383M548220197339SHSOLE 9733900COCA COLA COCOM1912161002836836SHSOLE 683600CONOCOPHILLIPSCOM20825C1042785535SHSOLE 553500COSTCO WHSL CORP NEWCOM22160K1055993743SHSOLE 374300DANAHER CORP DELCOM2358511022723490SHSOLE 349000DISNEY WALT COCOM DISNEY2546871065445219SHSOLE 521900EXXON MOBIL CORPCOM30231G1025446032SHSOLE 603200FACEBOOK INCCL A30303M1023382935SHSOLE 293500FIRST TR EXCH TRD ALPHA FD IEMERG MKT ALPH33737J18259029050SHSOLE 2905000FIRST TR EXCHANGE TRADED FDSENIOR LN FD33738D3094519289SHSOLE 928900FIRST TR EXCHANGE-TRADED FDPFD SECS INC ETF33739E10857130070SHSOLE 3007000GABELLI EQUITY TR INCCOM3623971018314949SHSOLE 1494900GENERAL ELECTRIC COCOM369604103103332693SHSOLE 3269300GILEAD SCIENCES INCCOM3755581033114348SHSOLE 434800INTEL CORPCOM458140100201055412SHSOLE 5541200INTERNATIONAL BUSINESS MACHSCOM4592001013662202SHSOLE 220200ISHARESMSCI FRNTR100ETF464286145218687956SHSOLE 8795600ISHARES INCCORE MSCI EMKT46434G10317460411317SHSOLE 41131700ISHARES SILVER TRUSTISHARES46428Q10935523485SHSOLE 2348500ISHARES TRCORE S&P TTL STK4642871504168115SHSOLE 811500ISHARES TRTIPS BD ETF464287176425637608SHSOLE 3760800ISHARES TRCORE S&P500 ETF46428720010734770SHSOLE 477000ISHARES TRCORE US AGGBD ET464287226128011845SHSOLE 1184500ISHARES TRIBOXX INV CP ETF4642872422472106SHSOLE 210600ISHARES TRS&P 500 GRWT ETF4642873096105005SHSOLE 500500ISHARES TRS&P 500 VAL ETF4642874086556465SHSOLE 646500ISHARES TR1-3 YR TR BD ETF46428745732709387317SHSOLE 38731700ISHARES TRMSCI EAFE ETF46428746562510824SHSOLE 1082400ISHARES TRCORE S&P MCP ETF4642875073301997SHSOLE 199700ISHARES TRRUS 1000 GRW ETF4642876142051953SHSOLE 195300ISHARES TRRUSSELL 2000 ETF4642876552712013SHSOLE 201300ISHARES TRCORE S&P SCP ETF4642878044443230SHSOLE 323000ISHARES TREAFE SML CP ETF464288273141428371SHSOLE 2837100ISHARES TRJP MOR EM MK ETF464288281442240117SHSOLE 4011700ISHARES TRCALIF MUN BD ETF4642883563012606SHSOLE 260600ISHARES TRNATIONAL MUN ETF464288414555651359SHSOLE 5135900ISHARES TRINTL DEVPPTY ETF46428842239811847SHSOLE 1184700ISHARES TRUS CREDIT BD ETF4642886203573265SHSOLE 326500ISHARES TR1-3 YR CR BD ETF464288646108610344SHSOLE 1034400ISHARES TR3-7 YR TR BD ETF4642886614023284SHSOLE 328400ISHARES TRMICRO-CAP ETF4642888696998145SHSOLE 814500ISHARES TR0-5 YR TIPS ETF46429B7472062047SHSOLE 204700ISHARES TRCORE MSCI EAFE46432F84269112878SHSOLE 1287800JOHNSON & JOHNSONCOM4781601044764132SHSOLE 413200JPMORGAN CHASE & COCOM46625H1002362737SHSOLE 273700MICROSOFT CORPCOM594918104307549482SHSOLE 4948200MOLINA HEALTHCARE INCCOM60855R1003586605SHSOLE 660500NIKE INCCL B6541061033015929SHSOLE 592900OPKO HEALTH INCCOM68375N10320622200SHSOLE 2220000PEPSICO INCCOM7134481082932802SHSOLE 280200PFIZER INCCOM7170811032618044SHSOLE 804400PIMCO ETF TR0-5 HIGH YIELD72201R7836446453SHSOLE 645300POWERSHARES ETF TR IIWK VRDO TX FR73936T43334713901SHSOLE 1390100POWERSHARES QQQ TRUSTUNIT SER 173935A1045734840SHSOLE 484000PROCTER AND GAMBLE COCOM7427181098359932SHSOLE 993200RYDEX ETF TRUSTGUG S&P500 EQ WT78355W1062703120SHSOLE 312000SCHWAB STRATEGIC TRUS LRG CAP ETF80852420110400195272SHSOLE 19527200SCHWAB STRATEGIC TREMRG MKTEQ ETF8085247062304106855SHSOLE 10685500SCHWAB STRATEGIC TRINTL EQTY ETF80852480542815466SHSOLE 1546600SCHWAB STRATEGIC TRUS AGGREGATE B808524839423582230SHSOLE 8223000SCHWAB STRATEGIC TRUS TIPS ETF808524870191534919SHSOLE 3491900SCHWAB STRATEGIC TRINTL SCEQT ETF80852488867623220SHSOLE 2322000SOUTHWEST AIRLS COCOM8447411082515033SHSOLE 503300SPDR INDEX SHS FDSDJ GLB RL ES ETF78463X7493397228SHSOLE 722800SPDR INDEX SHS FDSS&P EMKTSC ETF78463X75642710747SHSOLE 1074700SPDR INDEX SHS FDSS&P INTL ETF78463X772108730153SHSOLE 3015300SPDR S&P 500 ETF TRTR UNIT78462F10310404651SHSOLE 465100SPDR SER TRBLOOMBERG SRT TR78468R40821636781635SHSOLE 78163500SPDR SER TRNUVEEN BLMBRG SR78468R7398183170700SHSOLE 17070000SPDR SERIES TRUSTNUV HGHYLD MUN78464A284510191141SHSOLE 9114100SPDR SERIES TRUSTBLOMBRG BRC INTR78464A375115033922SHSOLE 3392200SPDR SERIES TRUSTBLOMBRG BRC EMRG78464A3912619825SHSOLE 982500SPDR SERIES TRUSTBLOMBERG BRC SRT78464A474113937302SHSOLE 3730200SPDR SERIES TRUSTDJ REIT ETF78464A607146415685SHSOLE 1568500SPDR SERIES TRUSTS&P DIVID ETF78464A7632893381SHSOLE 338100STARBUCKS CORPCOM855244109129023237SHSOLE 2323700US BANCORP DELCOM NEW90297330465412727SHSOLE 1272700VANECK VECTORS ETF TRHIGH YLD MUN ETF92189F3613149106091SHSOLE 10609100VANECK VECTORS ETF TRAMT FREE INT ETF92189F544105245346SHSOLE 4534600VANGUARD BD INDEX FD INCSHORT TRM BOND92193782794011830SHSOLE 1183000VANGUARD BD INDEX FD INCTOTAL BND MRKT9219378353394196SHSOLE 419600VANGUARD INDEX FDSREIT ETF92290855310423126293SHSOLE 12629300VANGUARD INDEX FDSSM CP VAL ETF9229086113883209SHSOLE 320900VANGUARD INDEX FDSLARGE CAP ETF922908637974895219SHSOLE 9521900VANGUARD INDEX FDSVALUE ETF92290874497810511SHSOLE 1051100VANGUARD INDEX FDSSMALL CP ETF9229087512341813SHSOLE 181300VANGUARD INDEX FDSTOTAL STK MKT922908769427037029SHSOLE 3702900VANGUARD INTL EQUITY INDEX FGLB EX US ETF922042676152230707SHSOLE 3070700VANGUARD INTL EQUITY INDEX FTT WRLD ST ETF922042742122220031SHSOLE 2003100VANGUARD MALVERN FDSSTRM INFPROIDX92202080543238879543SHSOLE 87954300VANGUARD SCOTTSDALE FDSSHRT TRM CORP BD92206C409827361042406SHSOLE 104240600VANGUARD SCOTTSDALE FDSINT-TERM CORP92206C87051592602013SHSOLE 60201300VANGUARD SPECIALIZED PORTFOLDIV APP ETF9219088446537668SHSOLE 766800VANGUARD TAX MANAGED INTL FDFTSE DEV MKT ETF921943858326289275SHSOLE 8927500VANGUARD WHITEHALL FDS INCHIGH DIV YLD921946406190625155SHSOLE 2515500VERIZON COMMUNICATIONS INCCOM92343V1043025658SHSOLE 565800WISDOMTREE TREMER MKT HIGH FD97717W31551613819SHSOLE 1381900WISDOMTREE TRSMALLCAP DIVID97717W604107713016SHSOLE 1301600WISDOMTREE TRINTL SMCAP DIV97717W76068011325SHSOLE 1132500