0001085146-18-000559.txt : 20180212 0001085146-18-000559.hdr.sgml : 20180212 20180212160947 ACCESSION NUMBER: 0001085146-18-000559 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20171231 FILED AS OF DATE: 20180212 DATE AS OF CHANGE: 20180212 EFFECTIVENESS DATE: 20180212 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: 18596445 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 12-31-2017 12-31-2017 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 02-12-2018 0 151 466318 false INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M COCOM88579Y1012911238SHSOLE 11201126ABBVIE INCCOM00287Y1092622705SHSOLE 20002505ALASKA AIR GROUP INCCOM0116591092943996SHSOLE 208901907ALPHABET INCCAP STK CL C02079K107582556SHSOLE 3660190ALPHABET INCCAP STK CL A02079K305557529SHSOLE 3120217ALTRIA GROUP INCCOM02209S1036148592SHSOLE 299305599AMAZON COM INCCOM02313510632142748SHSOLE 40302345AMGEN INCCOM0311621005413112SHSOLE 26670445APPLE INCCOM037833100454626864SHSOLE 6645020218AT&T INCCOM00206R10260115455SHSOLE 1038905066AUTOMATIC DATA PROCESSING INCOM0530151032582200SHSOLE 44401756BANK AMER CORPCOM06050510463921663SHSOLE 1258309080BERKSHIRE HATHAWAY INC DELCL B NEW0846707022151084SHSOLE 7000384BOEING COCOM09702310511003729SHSOLE 137402355BRISTOL MYERS SQUIBB COCOM1101221082494064SHSOLE 116102903CAMDEN NATL CORPCOM133034108194246099SHSOLE 0046099CATERPILLAR INC DELCOM1491231012561626SHSOLE 7540872CEL SCI CORPCOM PAR NEW1508376072111300SHSOLE 1130000CHESAPEAKE ENERGY CORPCOM1651671074010200SHSOLE 900001200CHEVRON CORP NEWCOM166764100209116699SHSOLE 1705014993CLAYMORE EXCHANGE TRD FD TR2022 HG YLD CB18383M21785234198SHSOLE 22625011573CLAYMORE EXCHANGE TRD FD TR2021 HG YLD CB18383M22587535081SHSOLE 23453011627CLAYMORE EXCHANGE TRD FD TR2023 CORP BOND18383M241111853707SHSOLE 26530027177CLAYMORE EXCHANGE TRD FD TRGUGG BULSH 202218383M258123558333SHSOLE 26549031784CLAYMORE EXCHANGE TRD FD TRGUGG BULSH 202118383M266154072901SHSOLE 29959042942CLAYMORE EXCHANGE TRD FD TRGUG BUL 2020 HY18383M36589836611SHSOLE 24997011614CLAYMORE EXCHANGE TRD FD TRGUG BUL 2019 HY18383M37394238646SHSOLE 26665011981CLAYMORE EXCHANGE TRD FD TRGUG BLT2018 HY18383M38191436429SHSOLE 25969010460CLAYMORE EXCHANGE TRD FD TRGUG BULL2020 E18383M514171880709SHSOLE 43496037213CLAYMORE EXCHANGE TRD FD TRGUG BULL2019 E18383M522178984820SHSOLE 46078038742CLAYMORE EXCHANGE TRD FD TRGUG BULL2018 E18383M530187088671SHSOLE 48546040124COCA COLA COCOM1912161002846197SHSOLE 293803258COSTCO WHSL CORP NEWCOM22160K1056563523SHSOLE 152701996CSX CORPCOM1264081032053724SHSOLE 132402400DANAHER CORP DELCOM2358511023573850SHSOLE 7003780DISNEY WALT COCOM DISNEY2546871064824481SHSOLE 142203059EXXON MOBIL CORPCOM30231G1027468925SHSOLE 458904336FACEBOOK INCCL A30303M1025623187SHSOLE 155101636FIRST TR DJS MICROCAP INDEXCOM SHS ANNUAL33718M1053767930SHSOLE 416003770FIRST TR EXCH TRD ALPHA FD IEMERG MKT ALPH33737J18248717444SHSOLE 976007684FIRST TR EXCHANGE TRADED FDNO AMER ENERGY33738D1012168780SHSOLE 266506115FIRST TR EXCHANGE TRADED FDSENIOR LN FD33738D3094168660SHSOLE 79790681FIRST TR EXCHANGE-TRADED FDPFD SECS INC ETF33739E1084016200702SHSOLE 116551084152FISERV INCCOM3377381082692049SHSOLE 204900GENERAL ELECTRIC COCOM36960410356732478SHSOLE 9130023349GILEAD SCIENCES INCCOM3755581033044248SHSOLE 34480800HEWLETT PACKARD ENTERPRISE CCOM42824C10915911052SHSOLE 713503917HOME DEPOT INCCOM4370761022461296SHSOLE 8260470HP INCCOM40434L10522210576SHSOLE 663503941INTEL CORPCOM458140100194142058SHSOLE 17590024468INTERNATIONAL BUSINESS MACHSCOM4592001013011964SHSOLE 16470316ISHARES INCMSCI FRNTR100ETF464286145293088459SHSOLE 44090044369ISHARES INCCORE MSCI EMKT46434G10324856436845SHSOLE 1968930239952ISHARES SILVER TRUSTISHARES46428Q10937623485SHSOLE 1450008985ISHARES TRSELECT DIVID ETF4642871682322351SHSOLE 16810670ISHARES TRTIPS BD ETF464287176316727765SHSOLE 10333017433ISHARES TRCORE S&P500 ETF46428720011954447SHSOLE 264701800ISHARES TRCORE US AGGBD ET4642872269828980SHSOLE 150107478ISHARES TRMSCI EMG MKT ETF4642872342044339SHSOLE 87203467ISHARES TRIBOXX INV CP ETF4642872423072523SHSOLE 002523ISHARES TRS&P 500 GRWT ETF4642873093632375SHSOLE 20750300ISHARES TRS&P 500 VAL ETF4642874087056175SHSOLE 55700605ISHARES TR1 3 YR TREAS BD46428745730232360546SHSOLE 1104600250086ISHARES TRMSCI EAFE ETF4642874656419119SHSOLE 497704141ISHARES TRCORE S&P MCP ETF4642875072751451SHSOLE 10101350ISHARES TRRUS 1000 ETF4642876223002019SHSOLE 6601953ISHARES TRRUSSELL 2000 ETF4642876555363513SHSOLE 242701086ISHARES TRCORE S&P SCP ETF4642878044015215SHSOLE 151503700ISHARES TREAFE SML CP ETF464288273164525502SHSOLE 1733008172ISHARES TRJPMORGAN USD EMG464288281612052709SHSOLE 30405022304ISHARES TRNATIONAL MUN ETF464288414647058421SHSOLE 15854042567ISHARES TRINTL DEVPPTY ETF46428842242310720SHSOLE 253108190ISHARES TR1 3 YR CR BD ETF4642886469439020SHSOLE 323105789ISHARES TR3 7 YR TREAS BD4642886613903193SHSOLE 114002053ISHARES TRMICRO-CAP ETF4642888697948296SHSOLE 163306663ISHARES TRCORE MSCI EAFE46432F84271310784SHSOLE 333507449ISHARES U S ETF TRCOMMOD SEL STG46431W853198854692SHSOLE 41705012987JOHNSON & JOHNSONCOM4781601048836317SHSOLE 300803309JPMORGAN CHASE & COCOM46625H1004974652SHSOLE 315601496MATTHEWS INTL CORPCL A57712810172913806SHSOLE 0013806MCDONALDS CORPCOM5801351013161836SHSOLE 14060430MERCK & CO INCCOM58933Y1052584594SHSOLE 170702886MICROCHIP TECHNOLOGY INCCOM595017104135515415SHSOLE 0015415MICROSOFT CORPCOM594918104476255668SHSOLE 10949044718MONDELEZ INTL INCCL A6092071052054794SHSOLE 91003884NIKE INCCL B65410610379612729SHSOLE 1808010920OCCIDENTAL PETE CORP DELCOM6745991052243040SHSOLE 23040736OPKO HEALTH INCCOM68375N10310922200SHSOLE 2200020000ORACLE CORPCOM68389X1054659844SHSOLE 675503089PATTERSON COMPANIES INCCOM7033951032536998SHSOLE 699800PEPSICO INCCOM7134481083602998SHSOLE 118501813PFIZER INCCOM7170811032577109SHSOLE 360503504PHILIP MORRIS INTL INCCOM7181721093883672SHSOLE 164502027PHILLIPS 66COM7185461042472446SHSOLE 22602220PIMCO ETF TR0-5 HIGH YIELD72201R7834584555SHSOLE 146003095POWERSHARES QQQ TRUSTUNIT SER 173935A104209113423SHSOLE 432309099PROCTER AND GAMBLE COCOM742718109310033743SHSOLE 2628307460SCHWAB STRATEGIC TRUS BRD MKT ETF8085241022123280SHSOLE 107602204SCHWAB STRATEGIC TRUS LRG CAP ETF8085242019576150138SHSOLE 452370104901SCHWAB STRATEGIC TRUS LCAP VA ETF8085244092394377SHSOLE 437700SCHWAB STRATEGIC TREMRG MKTEQ ETF808524706242486741SHSOLE 50502036239SCHWAB STRATEGIC TRUS DIVIDEND EQ8085247972885628SHSOLE 49270701SCHWAB STRATEGIC TRINTL EQTY ETF80852480544913185SHSOLE 1509011676SCHWAB STRATEGIC TRUS AGGREGATE B808524839464289198SHSOLE 32305056893SCHWAB STRATEGIC TRSHT TM US TRES8085248624498982SHSOLE 008982SCHWAB STRATEGIC TRUS TIPS ETF808524870171931006SHSOLE 9096021909SCHWAB STRATEGIC TRINTL SCEQT ETF80852488868918805SHSOLE 937409431SOUTHWEST AIRLS COCOM8447411083295033SHSOLE 503300SPDR INDEX SHS FDSDJ GLB RL ES ETF78463X7493236603SHSOLE 383402769SPDR INDEX SHS FDSS&P EMKTSC ETF78463X7564739091SHSOLE 627902812SPDR INDEX SHS FDSS&P INTL ETF78463X772183844607SHSOLE 22048022559SPDR S&P 500 ETF TRTR UNIT78462F103319611976SHSOLE 372208254SPDR SER TRBLOOMBERG SRT TR78468R40820314737085SHSOLE 2828810454204SPDR SER TRNUVEEN BLMBRG SR78468R7399903206699SHSOLE 679600138739SPDR SERIES TRUSTS&P 600 SMCP GRW78464A2016823000SHSOLE 300000SPDR SERIES TRUSTNUV HGHYLD MUN78464A2846804122238SHSOLE 64727057511SPDR SERIES TRUSTPORTFOLIO INTRMD78464A37575522050SHSOLE 6085015965SPDR SERIES TRUSTBLOMBRG BRC EMRG78464A39131410591SHSOLE 440406188SPDR SERIES TRUSTPORTFOLIO SHORT78464A47475524835SHSOLE 5570019265SPDR SERIES TRUSTDJ REIT ETF78464A607101010785SHSOLE 541405371SPDR SERIES TRUSTS&P DIVID ETF78464A7633083264SHSOLE 23650899STARBUCKS CORPCOM855244109140724499SHSOLE 3844020655UNITEDHEALTH GROUP INCCOM91324P1022471120SHSOLE 1070050US BANCORP DELCOM NEW90297330460611317SHSOLE 302008297VANECK VECTORS ETF TRHIGH YLD MUN ETF92189F3613389108629SHSOLE 50319058310VANECK VECTORS ETF TRAMT FREE INT ETF92189F544101842306SHSOLE 22061020245VANGUARD BD INDEX FD INCSHORT TRM BOND9219378275536987SHSOLE 125105737VANGUARD INDEX FDSREIT ETF92290855311902143438SHSOLE 59371084066VANGUARD INDEX FDSSM CP VAL ETF9229086112171633SHSOLE 7300903VANGUARD INDEX FDSLARGE CAP ETF9229086371036084515SHSOLE 16146068369VANGUARD INDEX FDSGROWTH ETF9229087368846285SHSOLE 54650820VANGUARD INDEX FDSVALUE ETF922908744177616709SHSOLE 887807831VANGUARD INDEX FDSSMALL CP ETF9229087515954023SHSOLE 36850338VANGUARD INDEX FDSTOTAL STK MKT922908769538339218SHSOLE 16568022650VANGUARD INTL EQUITY INDEX FGLB EX US ETF922042676184630516SHSOLE 17743012774VANGUARD INTL EQUITY INDEX FTT WRLD ST ETF922042742132917894SHSOLE 1594016300VANGUARD INTL EQUITY INDEX FFTSE EMR MKT ETF92204285860113096SHSOLE 2785010311VANGUARD MALVERN FDSSTRM INFPROIDX92202080540711833908SHSOLE 3393200494587VANGUARD SCOTTSDALE FDSSHRT TRM CORP BD92206C409944871191509SHSOLE 4334400758069VANGUARD SCOTTSDALE FDSINT-TERM CORP92206C87059338679005SHSOLE 2441000434905VANGUARD SPECIALIZED FUNDSDIV APP ETF9219088447026878SHSOLE 355403323VANGUARD TAX MANAGED INTL FDFTSE DEV MKT ETF921943858382285192SHSOLE 23865061326VANGUARD WHITEHALL FDS INCHIGH DIV YLD921946406302435316SHSOLE 14862020454VERIZON COMMUNICATIONS INCCOM92343V1042023812SHSOLE 276201050VISA INCCOM CL A92826C8392702372SHSOLE 19360436WISDOMTREE TREMG MKTS SMCAP97717W2813146028SHSOLE 259303435WISDOMTREE TREMER MKT HIGH FD97717W31585018736SHSOLE 1079407942WISDOMTREE TRUS SMALLCAP DIVD97717W604157554228SHSOLE 26827027401WISDOMTREE TRINTL SMCAP DIV97717W76093012111SHSOLE 522106890WISDOMTREE TRITL HIGH DIV FD97717W8022255070SHSOLE 005070XCEL ENERGY INCCOM98389B1002475137SHSOLE 87004267