0001062993-13-005640.txt : 20131113 0001062993-13-005640.hdr.sgml : 20131113 20131113152646 ACCESSION NUMBER: 0001062993-13-005640 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20130930 FILED AS OF DATE: 20131113 DATE AS OF CHANGE: 20131113 EFFECTIVENESS DATE: 20131113 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Annex Advisory Services, LLC CENTRAL INDEX KEY: 0001542287 IRS NUMBER: 861130026 STATE OF INCORPORATION: WI FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15012 FILM NUMBER: 131214319 BUSINESS ADDRESS: STREET 1: 12700 W. BLUEMOUND ROAD STREET 2: SUITE 200 CITY: ELM GROVE STATE: WI ZIP: 53122 BUSINESS PHONE: 262-786-6363 MAIL ADDRESS: STREET 1: 12700 W. BLUEMOUND ROAD STREET 2: SUITE 200 CITY: ELM GROVE STATE: WI ZIP: 53122 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001542287 XXXXXXXX 09-30-2013 09-30-2013 Annex Advisory Services, LLC

12700 W. BLUEMOUND ROAD SUITE 200 ELM GROVE WI 53122

13F HOLDINGS REPORT 028-15012 N Mark M. Oswald 262 786 6363 Mark M. Oswald Elm Grove WI 11-12-2013 0 97 214667 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE ABBOTT LABS COM 002824100 269 8109 SH SOLE 0 0 8109 ABBVIE INC COM 00287Y109 409 9151 SH SOLE 0 0 9151 AEGON N V NY REGISTRY SH 007924103 206 8900 SH SOLE 0 0 8900 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 173 24576 SH SOLE 0 0 24576 ALLIANT ENERGY CORP COM 018802108 341 6884 SH SOLE 0 0 6884 APPLE INC COM 037833100 1126 2363 SH SOLE 0 0 2363 AT&T INC COM 00206R102 253 7480 SH SOLE 0 0 7480 BANK OF AMERICA CORPORATION COM 060505104 147 10657 SH SOLE 0 0 10657 BAXTER INTL INC COM 071813109 360 5473 SH SOLE 0 0 5473 CHEVRON CORP NEW COM 166764100 1238 10192 SH SOLE 0 0 10192 CONOCOPHILLIPS COM 20825C104 246 3545 SH SOLE 0 0 3545 CREDIT SUISSE ASSET MGMT INC COM 224916106 76 20725 SH SOLE 0 0 20725 CREDIT SUISSE HIGH YLD BND F SH BEN INT 22544F103 47 15571 SH SOLE 0 0 15571 EXXON MOBIL CORP COM 30231G102 550 6390 SH SOLE 0 0 6390 FIDELITY NATL INFORMATION SV COM 31620M106 220 4737 SH SOLE 0 0 4737 FISERV INC COM 337738108 412 4078 SH SOLE 0 0 4078 GENERAL ELECTRIC CO COM 369604103 517 21635 SH SOLE 0 0 21635 GOOGLE INC CL A 38259P508 226 258 SH SOLE 0 0 258 HSBC HLDGS PLC ADR A 1/40PF A 404280604 244 9900 SH SOLE 0 0 9900 INTERNATIONAL BUSINESS MACHS COM 459200101 356 1920 SH SOLE 0 0 1920 ISHARES 3-7 YR TR BD ETF 464288661 987 8138 SH SOLE 0 0 8138 ISHARES AGGRES ALLOC ETF 464289859 601 14312 SH SOLE 0 0 14312 ISHARES CORE S&P MCP ETF 464287507 3884 31288 SH SOLE 0 0 31288 ISHARES CORE S&P SCP ETF 464287804 7746 77611 SH SOLE 0 0 77611 ISHARES CORE S&P500 ETF 464287200 3654 21633 SH SOLE 0 0 21633 ISHARES CORE TOTUSBD ETF 464287226 228 2131 SH SOLE 0 0 2131 ISHARES GOLD TRUST ISHARES 464285105 630 48849 SH SOLE 0 0 48849 ISHARES GRWT ALLOCAT ETF 464289867 221 5995 SH SOLE 0 0 5995 ISHARES HIGH DIVIDND ETF 46429B663 1369 20651 SH SOLE 0 0 20651 ISHARES IBOXX HI YD ETF 464288513 1660 18127 SH SOLE 0 0 18127 ISHARES IBOXX INV CP ETF 464287242 1307 11511 SH SOLE 0 0 11511 ISHARES INTL SEL DIV ETF 464288448 315 8699 SH SOLE 0 0 8699 ISHARES MSCI EAFE ETF 464287465 307 4814 SH SOLE 0 0 4814 ISHARES NAT AMT FREE BD 464288414 812 7769 SH SOLE 0 0 7769 ISHARES RUS 1000 ETF 464287622 564 5988 SH SOLE 0 0 5988 ISHARES RUS 1000 GRW ETF 464287614 5551 70979 SH SOLE 0 0 70979 ISHARES RUS 1000 VAL ETF 464287598 4423 51309 SH SOLE 0 0 51309 ISHARES RUS 2000 GRW ETF 464287648 795 6319 SH SOLE 0 0 6319 ISHARES RUS 2000 VAL ETF 464287630 862 9402 SH SOLE 0 0 9402 ISHARES RUSSELL 2000 ETF 464287655 1333 12506 SH SOLE 0 0 12506 ISHARES SELECT DIVID ETF 464287168 514 7753 SH SOLE 0 0 7753 ISHARES U.S. ENERGY ETF 464287796 315 6680 SH SOLE 0 0 6680 ISHARES U.S. FINLS ETF 464287788 4500 61410 SH SOLE 0 0 61410 ISHARES U.S. PFD STK ETF 464288687 235 6187 SH SOLE 0 0 6187 ISHARES U.S. REAL ES ETF 464287739 1130 17721 SH SOLE 0 0 17721 ISHARES U.S. TECH ETF 464287721 248 3147 SH SOLE 0 0 3147 ISHARES U.S. TELECOM ETF 464287713 469 17015 SH SOLE 0 0 17015 ISHARES US HLTHCARE ETF 464287762 402 3760 SH SOLE 0 0 3760 ISHARES US OIL&GS EX ETF 464288851 273 3505 SH SOLE 0 0 3505 JOHNSON & JOHNSON COM 478160104 209 2413 SH SOLE 0 0 2413 JOHNSON CTLS INC COM 478366107 1069 25765 SH SOLE 0 0 25765 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 332 13255 SH SOLE 0 0 13255 MCDONALDS CORP COM 580135101 1021 10610 SH SOLE 0 0 10610 ORACLE CORP COM 68389X105 277 8350 SH SOLE 0 0 8350 PEPSICO INC COM 713448108 328 4130 SH SOLE 0 0 4130 PFIZER INC COM 717081103 223 7766 SH SOLE 0 0 7766 PIMCO ETF TR ENHAN SHRT MAT 72201R833 422 4161 SH SOLE 0 0 4161 PIMCO ETF TR TOTL RETN ETF 72201R775 12885 121706 SH SOLE 0 0 121706 POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 1832 58705 SH SOLE 0 0 58705 POWERSHARES GLOBAL ETF TRUST AGG PFD PORT 73936T565 2484 181439 SH SOLE 0 0 181439 PROSHARES TR PSHS ULTRUSS2000 74347R842 523 7175 SH SOLE 0 0 7175 PROSHARES TR ULTR 7-10 TREA 74347R180 316 6091 SH SOLE 0 0 6091 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 17337 265902 SH SOLE 0 0 265902 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 569 13836 SH SOLE 0 0 13836 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 481 13905 SH SOLE 0 0 13905 SCHWAB STRATEGIC TR US REIT ETF 808524847 218 7049 SH SOLE 0 0 7049 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 722 11908 SH SOLE 0 0 11908 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 1121 28162 SH SOLE 0 0 28162 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 6310 124738 SH SOLE 0 0 124738 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 10203 123065 SH SOLE 0 0 123065 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 329 16549 SH SOLE 0 0 16549 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 348 10848 SH SOLE 0 0 10848 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 1320 8741 SH SOLE 0 0 8741 SPDR GOLD TRUST GOLD SHS 78463V107 1584 12357 SH SOLE 0 0 12357 SPDR S&P 500 ETF TR TR UNIT 78462F103 1514 9012 SH SOLE 0 0 9012 SPDR SERIES TRUST S&P DIVID ETF 78464A763 439 6367 SH SOLE 0 0 6367 SPDR SERIES TRUST S&P REGL BKG 78464A698 1618 45397 SH SOLE 0 0 45397 SWISHER HYGIENE INC COM 870808102 16 26095 SH SOLE 0 0 26095 UNITEDHEALTH GROUP INC COM 91324P102 589 8232 SH SOLE 0 0 8232 USA TECHNOLOGIES INC COM NO PAR 90328S500 24 15000 SH SOLE 0 0 15000 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 210 2593 SH SOLE 0 0 2593 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 9471 190750 SH SOLE 0 0 190750 VANGUARD INDEX FDS GROWTH ETF 922908736 327 3861 SH SOLE 0 0 3861 VANGUARD INDEX FDS REIT ETF 922908553 15660 236768 SH SOLE 0 0 236768 VANGUARD INDEX FDS SMALL CP ETF 922908751 706 6887 SH SOLE 0 0 6887 VANGUARD INDEX FDS TOTAL STK MKT 922908769 20360 232292 SH SOLE 0 0 232292 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 5146 105886 SH SOLE 0 0 105886 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 822 20482 SH SOLE 0 0 20482 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 12474 179196 SH SOLE 0 0 179196 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 6338 110249 SH SOLE 0 0 110249 VANGUARD WORLD FDS INF TECH ETF 92204A702 11096 137503 SH SOLE 0 0 137503 VERIZON COMMUNICATIONS INC COM 92343V104 214 4583 SH SOLE 0 0 4583 VISA INC COM CL A 92826C839 217 1137 SH SOLE 0 0 1137 WELLS FARGO & CO NEW COM 949746101 377 9126 SH SOLE 0 0 9126 WISCONSIN ENERGY CORP COM 976657106 843 20866 SH SOLE 0 0 20866 WISDOMTREE TR DIV EX-FINL FD 97717W406 1181 18564 SH SOLE 0 0 18564 WISDOMTREE TR EMERG MKTS ETF 97717W315 9811 189796 SH SOLE 0 0 189796