0001062993-15-006183.txt : 20151116 0001062993-15-006183.hdr.sgml : 20151116 20151116114841 ACCESSION NUMBER: 0001062993-15-006183 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150930 FILED AS OF DATE: 20151116 DATE AS OF CHANGE: 20151116 EFFECTIVENESS DATE: 20151116 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: 151232714 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 09-30-2015 09-30-2015 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 11-13-2015 0 115 307578 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE 3M CO COM 88579Y101 601 4238 SH SOLE 0 0 4238 ABBOTT LABS COM 002824100 441 10961 SH SOLE 0 0 10961 ABBVIE INC COM 00287Y109 1232 22634 SH SOLE 0 0 22634 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 590 6004 SH SOLE 0 0 6004 AEGON N V NY REGISTRY SH 007924103 224 8900 SH SOLE 0 0 8900 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 147 18761 SH SOLE 0 0 18761 ALLIANT ENERGY CORP COM 018802108 425 7261 SH SOLE 0 0 7261 ALTRIA GROUP INC COM 02209S103 384 7067 SH SOLE 0 0 7067 AMGEN INC COM 031162100 599 4330 SH SOLE 0 0 4330 APPLE INC COM 037833100 3480 31552 SH SOLE 0 0 31552 AT&T INC COM 00206R102 414 12719 SH SOLE 0 0 12719 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 229 1754 SH SOLE 0 0 1754 BLACKROCK INC COM 09247X101 434 1458 SH SOLE 0 0 1458 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 538 16990 SH SOLE 0 0 16990 BOEING CO COM 097023105 699 5337 SH SOLE 0 0 5337 CAPITAL ONE FINL CORP COM 14040H105 471 6491 SH SOLE 0 0 6491 CARDINAL HEALTH INC COM 14149Y108 590 7685 SH SOLE 0 0 7685 CHEVRON CORP NEW COM 166764100 717 9086 SH SOLE 0 0 9086 COMCAST CORP NEW CL A 20030N101 626 11010 SH SOLE 0 0 11010 CONOCOPHILLIPS COM 20825C104 215 4492 SH SOLE 0 0 4492 CORNING INC COM 219350105 540 31565 SH SOLE 0 0 31565 CREDIT SUISSE ASSET MGMT INC COM 224916106 145 51250 SH SOLE 0 0 51250 CREDIT SUISSE HIGH YLD BND F SH BEN INT 22544F103 52 22921 SH SOLE 0 0 22921 DELPHI AUTOMOTIVE PLC SHS G27823106 543 7146 SH SOLE 0 0 7146 DISCOVER FINL SVCS COM 254709108 503 9670 SH SOLE 0 0 9670 DISNEY WALT CO COM DISNEY 254687106 420 4108 SH SOLE 0 0 4108 DR PEPPER SNAPPLE GROUP INC COM 26138E109 545 6893 SH SOLE 0 0 6893 EATON CORP PLC SHS G29183103 439 8567 SH SOLE 0 0 8567 ENSYNC INC COM 29359T102 6 10000 SH SOLE 0 0 10000 ENTERPRISE PRODS PARTNERS L COM 293792107 472 18940 SH SOLE 0 0 18940 EXXON MOBIL CORP COM 30231G102 531 7144 SH SOLE 0 0 7144 FIDELITY NATL INFORMATION SV COM 31620M106 496 7394 SH SOLE 0 0 7394 FISERV INC COM 337738108 723 8351 SH SOLE 0 0 8351 FOOT LOCKER INC COM 344849104 488 6783 SH SOLE 0 0 6783 GENERAL ELECTRIC CO COM 369604103 436 17302 SH SOLE 0 0 17302 GILEAD SCIENCES INC COM 375558103 276 2815 SH SOLE 0 0 2815 HOME DEPOT INC COM 437076102 845 7314 SH SOLE 0 0 7314 HUMANA INC COM 444859102 208 1161 SH SOLE 0 0 1161 INTEL CORP COM 458140100 205 6796 SH SOLE 0 0 6796 INTERNATIONAL BUSINESS MACHS COM 459200101 409 2818 SH SOLE 0 0 2818 INTL PAPER CO COM 460146103 419 11084 SH SOLE 0 0 11084 ISHARES AGGRES ALLOC ETF 464289859 1152 26392 SH SOLE 0 0 26392 ISHARES CONSER ALLOC ETF 464289883 296 9421 SH SOLE 0 0 9421 ISHARES GRWT ALLOCAT ETF 464289867 946 24795 SH SOLE 0 0 24795 ISHARES MODERT ALLOC ETF 464289875 977 28855 SH SOLE 0 0 28855 ISHARES TR 1-3 YR TR BD ETF 464287457 331 3892 SH SOLE 0 0 3892 ISHARES TR CORE HIGH DV ETF 46429B663 624 8966 SH SOLE 0 0 8966 ISHARES TR CORE S&P MCP ETF 464287507 6430 47065 SH SOLE 0 0 47065 ISHARES TR CORE S&P SCP ETF 464287804 16867 158272 SH SOLE 0 0 158272 ISHARES TR CORE S&P500 ETF 464287200 6482 33636 SH SOLE 0 0 33636 ISHARES TR MSCI EAFE ETF 464287465 246 4291 SH SOLE 0 0 4291 ISHARES TR RUS 1000 ETF 464287622 324 3023 SH SOLE 0 0 3023 ISHARES TR RUS 1000 GRW ETF 464287614 3486 37487 SH SOLE 0 0 37487 ISHARES TR RUS 1000 VAL ETF 464287598 2385 25564 SH SOLE 0 0 25564 ISHARES TR RUS 2000 GRW ETF 464287648 514 3838 SH SOLE 0 0 3838 ISHARES TR RUS 2000 VAL ETF 464287630 580 6440 SH SOLE 0 0 6440 ISHARES TR RUSSELL 2000 ETF 464287655 328 3008 SH SOLE 0 0 3008 ISHARES TR SELECT DIVID ETF 464287168 359 4937 SH SOLE 0 0 4937 ISHARES TR U.S. FINLS ETF 464287788 251 2984 SH SOLE 0 0 2984 ISHARES TR U.S. TECH ETF 464287721 207 2098 SH SOLE 0 0 2098 ISHARES TR US HLTHCARE ETF 464287762 266 1903 SH SOLE 0 0 1903 JOHNSON & JOHNSON COM 478160104 282 3020 SH SOLE 0 0 3020 JOHNSON CTLS INC COM 478366107 862 20842 SH SOLE 0 0 20842 JPMORGAN CHASE & CO COM 46625H100 583 9556 SH SOLE 0 0 9556 KELSO TECHNOLOGIES INC COM NEW 48826D201 23 14500 SH SOLE 0 0 14500 KIMBERLY CLARK CORP COM 494368103 594 5445 SH SOLE 0 0 5445 KROGER CO COM 501044101 433 12006 SH SOLE 0 0 12006 LAZARD LTD SHS A G54050102 405 9344 SH SOLE 0 0 9344 LOCKHEED MARTIN CORP COM 539830109 571 2753 SH SOLE 0 0 2753 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 516 6188 SH SOLE 0 0 6188 MEDTRONIC PLC SHS G5960L103 475 7103 SH SOLE 0 0 7103 MERCK & CO INC NEW COM 58933Y105 576 11653 SH SOLE 0 0 11653 MERGE HEALTHCARE INC COM 589499102 83 11715 SH SOLE 0 0 11715 MICROSOFT CORP COM 594918104 974 21999 SH SOLE 0 0 21999 MOODYS CORP COM 615369105 543 5528 SH SOLE 0 0 5528 NEXTERA ENERGY INC COM 65339F101 584 5985 SH SOLE 0 0 5985 NOVAVAX INC COM 670002104 231 32705 SH SOLE 0 0 32705 NUVEEN FLTNG RTE INCM OPP FD COM SHS 6706EN100 184 18492 SH SOLE 0 0 18492 ORACLE CORP COM 68389X105 658 18206 SH SOLE 0 0 18206 PEPSICO INC COM 713448108 482 5116 SH SOLE 0 0 5116 PFIZER INC COM 717081103 729 23212 SH SOLE 0 0 23212 PHILIP MORRIS INTL INC COM 718172109 356 4482 SH SOLE 0 0 4482 POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 506 14068 SH SOLE 0 0 14068 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 205 2015 SH SOLE 0 0 2015 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 27151 369100 SH SOLE 0 0 369100 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 652 14050 SH SOLE 0 0 14050 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 452 11611 SH SOLE 0 0 11611 SCRIPPS E W CO OHIO CL A NEW 811054402 778 44011 SH SOLE 0 0 44011 SEAGATE TECHNOLOGY PLC SHS G7945M107 569 12696 SH SOLE 0 0 12696 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 24595 331202 SH SOLE 0 0 331202 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 25047 378179 SH SOLE 0 0 378179 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 303 7675 SH SOLE 0 0 7675 SOUTHWEST AIRLS CO COM 844741108 603 15860 SH SOLE 0 0 15860 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 309 1900 SH SOLE 0 0 1900 SPDR S&P 500 ETF TR TR UNIT 78462F103 1495 7802 SH SOLE 0 0 7802 SPDR SERIES TRUST S&P DIVID ETF 78464A763 332 4603 SH SOLE 0 0 4603 SPECTRA ENERGY CORP COM 847560109 406 15443 SH SOLE 0 0 15443 STATE STR CORP COM 857477103 441 6565 SH SOLE 0 0 6565 SYMANTEC CORP COM 871503108 437 22467 SH SOLE 0 0 22467 UNITEDHEALTH GROUP INC COM 91324P102 323 2781 SH SOLE 0 0 2781 VALERO ENERGY CORP NEW COM 91913Y100 549 9139 SH SOLE 0 0 9139 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 44300 836952 SH SOLE 0 0 836952 VANGUARD INDEX FDS GROWTH ETF 922908736 220 2198 SH SOLE 0 0 2198 VANGUARD INDEX FDS SMALL CP ETF 922908751 15246 141235 SH SOLE 0 0 141235 VANGUARD INDEX FDS TOTAL STK MKT 922908769 52309 529872 SH SOLE 0 0 529872 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 5191 121758 SH SOLE 0 0 121758 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 517 7015 SH SOLE 0 0 7015 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 395 6310 SH SOLE 0 0 6310 VANGUARD WORLD FDS INF TECH ETF 92204A702 26065 260648 SH SOLE 0 0 260648 VERIZON COMMUNICATIONS INC COM 92343V104 244 5619 SH SOLE 0 0 5619 VISA INC COM CL A 92826C839 526 7552 SH SOLE 0 0 7552 WALGREENS BOOTS ALLIANCE INC COM 931427108 403 4846 SH SOLE 0 0 4846 WEC ENERGY GROUP INC COM 92939U106 1117 21398 SH SOLE 0 0 21398 WELLS FARGO & CO NEW COM 949746101 266 5184 SH SOLE 0 0 5184 WISDOMTREE TR DIV EX-FINL FD 97717W406 674 10025 SH SOLE 0 0 10025