0001062993-15-000525.txt : 20150206 0001062993-15-000525.hdr.sgml : 20150206 20150206115132 ACCESSION NUMBER: 0001062993-15-000525 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20141231 FILED AS OF DATE: 20150206 DATE AS OF CHANGE: 20150206 EFFECTIVENESS DATE: 20150206 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: 15583102 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 12-31-2014 12-31-2014 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 02-05-2015 0 97 320709 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE ABBOTT LABS COM 002824100 392 8711 SH SOLE 0 0 8711 ABBVIE INC COM 00287Y109 936 14309 SH SOLE 0 0 14309 AEGON N V NY REGISTRY SH 007924103 227 8900 SH SOLE 0 0 8900 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 152 20361 SH SOLE 0 0 20361 ALLIANT ENERGY CORP COM 018802108 423 6365 SH SOLE 0 0 6365 ALTRIA GROUP INC COM 02209S103 296 6000 SH SOLE 0 0 6000 AMGEN INC COM 031162100 315 1978 SH SOLE 0 0 1978 ANNALY CAP MGMT INC COM 035710409 140 12988 SH SOLE 0 0 12988 APPLE INC COM 037833100 2074 18789 SH SOLE 0 0 18789 AT&T INC COM 00206R102 317 9438 SH SOLE 0 0 9438 BAXTER INTL INC COM 071813109 381 5195 SH SOLE 0 0 5195 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 219 6470 SH SOLE 0 0 6470 BOEING CO COM 097023105 317 2438 SH SOLE 0 0 2438 CARDINAL HEALTH INC COM 14149Y108 270 3340 SH SOLE 0 0 3340 CHEVRON CORP NEW COM 166764100 1111 9901 SH SOLE 0 0 9901 COMCAST CORP NEW CL A 20030N101 243 4189 SH SOLE 0 0 4189 CONOCOPHILLIPS COM 20825C104 286 4142 SH SOLE 0 0 4142 CORNING INC COM 219350105 214 9345 SH SOLE 0 0 9345 CREDIT SUISSE ASSET MGMT INC COM 224916106 154 46825 SH SOLE 0 0 46825 CREDIT SUISSE HIGH YLD BND F SH BEN INT 22544F103 64 22921 SH SOLE 0 0 22921 DISNEY WALT CO COM DISNEY 254687106 202 2143 SH SOLE 0 0 2143 EXXON MOBIL CORP COM 30231G102 514 5559 SH SOLE 0 0 5559 FIDELITY NATL INFORMATION SV COM 31620M106 484 7789 SH SOLE 0 0 7789 FISERV INC COM 337738108 486 6841 SH SOLE 0 0 6841 GENERAL ELECTRIC CO COM 369604103 384 15178 SH SOLE 0 0 15178 HOME DEPOT INC COM 437076102 381 3625 SH SOLE 0 0 3625 HSBC HLDGS PLC ADR A 1/40PF A 404280604 242 9400 SH SOLE 0 0 9400 INTERNATIONAL BUSINESS MACHS COM 459200101 433 2696 SH SOLE 0 0 2696 ISHARES AGGRES ALLOC ETF 464289859 1055 22806 SH SOLE 0 0 22806 ISHARES GRWT ALLOCAT ETF 464289867 451 11238 SH SOLE 0 0 11238 ISHARES MODERT ALLOC ETF 464289875 854 24282 SH SOLE 0 0 24282 ISHARES TR CORE HIGH DV ETF 46429B663 1195 15619 SH SOLE 0 0 15619 ISHARES TR CORE S&P MCP ETF 464287507 6106 42169 SH SOLE 0 0 42169 ISHARES TR CORE S&P SCP ETF 464287804 15505 135938 SH SOLE 0 0 135938 ISHARES TR CORE S&P500 ETF 464287200 6262 30268 SH SOLE 0 0 30268 ISHARES TR MSCI EAFE ETF 464287465 252 4136 SH SOLE 0 0 4136 ISHARES TR RUS 1000 ETF 464287622 430 3747 SH SOLE 0 0 3747 ISHARES TR RUS 1000 GRW ETF 464287614 4119 43082 SH SOLE 0 0 43082 ISHARES TR RUS 1000 VAL ETF 464287598 3144 30115 SH SOLE 0 0 30115 ISHARES TR RUS 2000 GRW ETF 464287648 641 4504 SH SOLE 0 0 4504 ISHARES TR RUS 2000 VAL ETF 464287630 785 7719 SH SOLE 0 0 7719 ISHARES TR RUS MDCP VAL ETF 464287473 219 2972 SH SOLE 0 0 2972 ISHARES TR RUSSELL 2000 ETF 464287655 394 3294 SH SOLE 0 0 3294 ISHARES TR SELECT DIVID ETF 464287168 405 5101 SH SOLE 0 0 5101 ISHARES TR U.S. FINLS ETF 464287788 16588 183907 SH SOLE 0 0 183907 ISHARES TR U.S. REAL ES ETF 464287739 1253 16301 SH SOLE 0 0 16301 ISHARES TR U.S. TECH ETF 464287721 245 2346 SH SOLE 0 0 2346 ISHARES TR US HLTHCARE ETF 464287762 312 2162 SH SOLE 0 0 2162 JOHNSON & JOHNSON COM 478160104 228 2179 SH SOLE 0 0 2179 JOHNSON CTLS INC COM 478366107 721 14920 SH SOLE 0 0 14920 JOURNAL COMMUNICATIONS INC CL A 481130102 972 85029 SH SOLE 0 0 85029 KELSO TECHNOLOGIES INC COM NEW 48826D201 85 14500 SH SOLE 0 0 14500 KIMBERLY CLARK CORP COM 494368103 222 1918 SH SOLE 0 0 1918 KINDER MORGAN INC DEL COM 49456B101 282 6660 SH SOLE 0 0 6660 MERCK & CO INC NEW COM 58933Y105 271 4768 SH SOLE 0 0 4768 MICROSOFT CORP COM 594918104 349 7524 SH SOLE 0 0 7524 NEXTERA ENERGY INC COM 65339F101 267 2509 SH SOLE 0 0 2509 NUVEEN FLTNG RTE INCM OPP FD COM SHS 6706EN100 199 17692 SH SOLE 0 0 17692 ORACLE CORP COM 68389X105 408 9080 SH SOLE 0 0 9080 PEPSICO INC COM 713448108 465 4912 SH SOLE 0 0 4912 PFIZER INC COM 717081103 397 12756 SH SOLE 0 0 12756 PHILIP MORRIS INTL INC COM 718172109 333 4086 SH SOLE 0 0 4086 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 300 2965 SH SOLE 0 0 2965 POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 590 15548 SH SOLE 0 0 15548 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 214 2068 SH SOLE 0 0 2068 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 26378 329521 SH SOLE 0 0 329521 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 735 14758 SH SOLE 0 0 14758 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 496 12204 SH SOLE 0 0 12204 SEAGATE TECHNOLOGY PLC SHS G7945M107 360 5414 SH SOLE 0 0 5414 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 381 5277 SH SOLE 0 0 5277 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 23438 342757 SH SOLE 0 0 342757 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 380 15384 SH SOLE 0 0 15384 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 7197 127199 SH SOLE 0 0 127199 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 344 8326 SH SOLE 0 0 8326 SOUTHWEST AIRLS CO COM 844741108 215 5082 SH SOLE 0 0 5082 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 513 2881 SH SOLE 0 0 2881 SPDR S&P 500 ETF TR TR UNIT 78462F103 1887 9180 SH SOLE 0 0 9180 SPDR SERIES TRUST S&P DIVID ETF 78464A763 406 5153 SH SOLE 0 0 5153 SPIRIT RLTY CAP INC NEW COM 84860W102 119 10000 SH SOLE 0 0 10000 US BANCORP DEL COM NEW 902973304 439 9758 SH SOLE 0 0 9758 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 322 3904 SH SOLE 0 0 3904 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 37651 708916 SH SOLE 0 0 708916 VANGUARD INDEX FDS GROWTH ETF 922908736 229 2190 SH SOLE 0 0 2190 VANGUARD INDEX FDS REIT ETF 922908553 28470 351486 SH SOLE 0 0 351486 VANGUARD INDEX FDS SMALL CP ETF 922908751 12996 111398 SH SOLE 0 0 111398 VANGUARD INDEX FDS TOTAL STK MKT 922908769 43491 410290 SH SOLE 0 0 410290 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 4063 86707 SH SOLE 0 0 86707 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 987 24666 SH SOLE 0 0 24666 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 2220 27349 SH SOLE 0 0 27349 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 20884 303774 SH SOLE 0 0 303774 VANGUARD WORLD FDS INF TECH ETF 92204A702 24655 235978 SH SOLE 0 0 235978 VERIZON COMMUNICATIONS INC COM 92343V104 239 5116 SH SOLE 0 0 5116 VISA INC COM CL A 92826C839 350 1335 SH SOLE 0 0 1335 WALGREENS BOOTS ALLIANCE INC COM 931427108 281 3683 SH SOLE 0 0 3683 WELLS FARGO & CO NEW COM 949746101 316 5766 SH SOLE 0 0 5766 WISCONSIN ENERGY CORP COM 976657106 1041 19732 SH SOLE 0 0 19732 WISDOMTREE TR DIV EX-FINL FD 97717W406 1051 13699 SH SOLE 0 0 13699