0001062993-16-007378.txt : 20160201 0001062993-16-007378.hdr.sgml : 20160201 20160201154432 ACCESSION NUMBER: 0001062993-16-007378 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20151231 FILED AS OF DATE: 20160201 DATE AS OF CHANGE: 20160201 EFFECTIVENESS DATE: 20160201 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: 161377152 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 12-31-2015 12-31-2015 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 01-29-2016 0 113 341267 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE 3M CO COM 88579Y101 684 4543 SH SOLE 0 0 4543 ABBOTT LABS COM 002824100 487 10851 SH SOLE 0 0 10851 ABBVIE INC COM 00287Y109 1369 23109 SH SOLE 0 0 23109 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 678 6491 SH SOLE 0 0 6491 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 144 18761 SH SOLE 0 0 18761 ALLIANT ENERGY CORP COM 018802108 453 7261 SH SOLE 0 0 7261 ALTRIA GROUP INC COM 02209S103 406 6982 SH SOLE 0 0 6982 AMGEN INC COM 031162100 758 4669 SH SOLE 0 0 4669 APPLE INC COM 037833100 3312 31469 SH SOLE 0 0 31469 AT&T INC COM 00206R102 404 11752 SH SOLE 0 0 11752 BAXALTA INC COM 07177M103 203 5202 SH SOLE 0 0 5202 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 215 1629 SH SOLE 0 0 1629 BLACKROCK INC COM 09247X101 572 1679 SH SOLE 0 0 1679 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 576 19699 SH SOLE 0 0 19699 BOEING CO COM 097023105 857 5930 SH SOLE 0 0 5930 CAPITAL ONE FINL CORP COM 14040H105 537 7440 SH SOLE 0 0 7440 CARDINAL HEALTH INC COM 14149Y108 747 8370 SH SOLE 0 0 8370 CHEVRON CORP NEW COM 166764100 817 9086 SH SOLE 0 0 9086 COMCAST CORP NEW CL A 20030N101 671 11888 SH SOLE 0 0 11888 CORNING INC COM 219350105 663 36242 SH SOLE 0 0 36242 CREDIT SUISSE ASSET MGMT INC COM 224916106 152 54700 SH SOLE 0 0 54700 CREDIT SUISSE HIGH YLD BND F SH BEN INT 22544F103 62 27271 SH SOLE 0 0 27271 DELPHI AUTOMOTIVE PLC SHS G27823106 697 8129 SH SOLE 0 0 8129 DISCOVER FINL SVCS COM 254709108 618 11523 SH SOLE 0 0 11523 DISNEY WALT CO COM DISNEY 254687106 889 8463 SH SOLE 0 0 8463 DR PEPPER SNAPPLE GROUP INC COM 26138E109 675 7239 SH SOLE 0 0 7239 EATON CORP PLC SHS G29183103 446 8567 SH SOLE 0 0 8567 ENSYNC INC COM 29359T102 4 10400 SH SOLE 0 0 10400 ENTERPRISE PRODS PARTNERS L COM 293792107 539 21075 SH SOLE 0 0 21075 EXXON MOBIL CORP COM 30231G102 535 6864 SH SOLE 0 0 6864 FIDELITY NATL INFORMATION SV COM 31620M106 440 7264 SH SOLE 0 0 7264 FISERV INC COM 337738108 794 8685 SH SOLE 0 0 8685 FOOT LOCKER INC COM 344849104 541 8314 SH SOLE 0 0 8314 GENERAL ELECTRIC CO COM 369604103 544 17450 SH SOLE 0 0 17450 GILEAD SCIENCES INC COM 375558103 287 2831 SH SOLE 0 0 2831 GLOBAL PMTS INC COM 37940X102 223 3460 SH SOLE 0 0 3460 HOME DEPOT INC COM 437076102 1107 8371 SH SOLE 0 0 8371 HUMANA INC COM 444859102 207 1161 SH SOLE 0 0 1161 INTEL CORP COM 458140100 221 6407 SH SOLE 0 0 6407 INTERNATIONAL BUSINESS MACHS COM 459200101 281 2042 SH SOLE 0 0 2042 INTL PAPER CO COM 460146103 457 12134 SH SOLE 0 0 12134 ISHARES AGGRES ALLOC ETF 464289859 1249 27855 SH SOLE 0 0 27855 ISHARES CONSER ALLOC ETF 464289883 358 11323 SH SOLE 0 0 11323 ISHARES TR CORE US AGGBD ET 464287226 4263 39471 SH SOLE 0 0 39471 ISHARES GRWT ALLOCAT ETF 464289867 1090 28038 SH SOLE 0 0 28038 ISHARES MODERT ALLOC ETF 464289875 1142 33537 SH SOLE 0 0 33537 ISHARES TR CORE HIGH DV ETF 46429B663 642 8740 SH SOLE 0 0 8740 ISHARES TR CORE S&P MCP ETF 464287507 6814 48907 SH SOLE 0 0 48907 ISHARES TR CORE S&P SCP ETF 464287804 18170 165018 SH SOLE 0 0 165018 ISHARES TR CORE S&P500 ETF 464287200 7294 35604 SH SOLE 0 0 35604 ISHARES TR MSCI EAFE ETF 464287465 258 4402 SH SOLE 0 0 4402 ISHARES TR RUS 1000 ETF 464287622 324 2860 SH SOLE 0 0 2860 ISHARES TR RUS 1000 GRW ETF 464287614 3405 34225 SH SOLE 0 0 34225 ISHARES TR RUS 1000 VAL ETF 464287598 2336 23867 SH SOLE 0 0 23867 ISHARES TR RUS 2000 GRW ETF 464287648 478 3435 SH SOLE 0 0 3435 ISHARES TR RUS 2000 VAL ETF 464287630 593 6446 SH SOLE 0 0 6446 ISHARES TR RUSSELL 2000 ETF 464287655 704 7153 SH SOLE 0 0 7153 ISHARES TR SELECT DIVID ETF 464287168 409 5438 SH SOLE 0 0 5438 ISHARES TR U.S. FINLS ETF 464287788 264 2984 SH SOLE 0 0 2984 ISHARES TR U.S. TECH ETF 464287721 207 1930 SH SOLE 0 0 1930 ISHARES TR US HLTHCARE ETF 464287762 239 1592 SH SOLE 0 0 1592 JOHNSON & JOHNSON COM 478160104 282 2745 SH SOLE 0 0 2745 JOHNSON CTLS INC COM 478366107 898 22732 SH SOLE 0 0 22732 JPMORGAN CHASE & CO COM 46625H100 708 10719 SH SOLE 0 0 10719 KELSO TECHNOLOGIES INC COM NEW 48826D201 15 14500 SH SOLE 0 0 14500 KIMBERLY CLARK CORP COM 494368103 788 6187 SH SOLE 0 0 6187 KROGER CO COM 501044101 655 15648 SH SOLE 0 0 15648 LAZARD LTD SHS A G54050102 468 10393 SH SOLE 0 0 10393 LOCKHEED MARTIN CORP COM 539830109 722 3326 SH SOLE 0 0 3326 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 593 6828 SH SOLE 0 0 6828 MCDONALDS CORP COM 580135101 216 1824 SH SOLE 0 0 1824 MEDTRONIC PLC SHS G5960L103 612 7952 SH SOLE 0 0 7952 MERCK & CO INC NEW COM 58933Y105 667 12634 SH SOLE 0 0 12634 MICROSOFT CORP COM 594918104 1354 24412 SH SOLE 0 0 24412 MOODYS CORP COM 615369105 617 6146 SH SOLE 0 0 6146 NEXTERA ENERGY INC COM 65339F101 739 7109 SH SOLE 0 0 7109 NUVEEN FLTNG RTE INCM OPP FD COM SHS 6706EN100 181 18492 SH SOLE 0 0 18492 ORACLE CORP COM 68389X105 758 20743 SH SOLE 0 0 20743 PEPSICO INC COM 713448108 529 5293 SH SOLE 0 0 5293 PFIZER INC COM 717081103 870 26948 SH SOLE 0 0 26948 PHILIP MORRIS INTL INC COM 718172109 412 4683 SH SOLE 0 0 4683 POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 524 13580 SH SOLE 0 0 13580 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 210 1879 SH SOLE 0 0 1879 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 28900 377091 SH SOLE 0 0 377091 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 696 14197 SH SOLE 0 0 14197 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 452 11283 SH SOLE 0 0 11283 SCRIPPS E W CO OHIO CL A NEW 811054402 836 44011 SH SOLE 0 0 44011 SEAGATE TECHNOLOGY PLC SHS G7945M107 453 12354 SH SOLE 0 0 12354 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 27118 346949 SH SOLE 0 0 346949 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 27945 387957 SH SOLE 0 0 387957 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 294 6856 SH SOLE 0 0 6856 SOUTHWEST AIRLS CO COM 844741108 755 17537 SH SOLE 0 0 17537 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 304 1745 SH SOLE 0 0 1745 SPDR S&P 500 ETF TR TR UNIT 78462F103 1722 8445 SH SOLE 0 0 8445 SPDR SERIES TRUST S&P DIVID ETF 78464A763 335 4554 SH SOLE 0 0 4554 STATE STR CORP COM 857477103 521 7857 SH SOLE 0 0 7857 SYMANTEC CORP COM 871503108 535 25482 SH SOLE 0 0 25482 UNITEDHEALTH GROUP INC COM 91324P102 309 2623 SH SOLE 0 0 2623 VALERO ENERGY CORP NEW COM 91913Y100 726 10270 SH SOLE 0 0 10270 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 46409 877635 SH SOLE 0 0 877635 VANGUARD INDEX FDS GROWTH ETF 922908736 222 2083 SH SOLE 0 0 2083 VANGUARD INDEX FDS SMALL CP ETF 922908751 16945 153153 SH SOLE 0 0 153153 VANGUARD INDEX FDS TOTAL STK MKT 922908769 57726 553464 SH SOLE 0 0 553464 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 7614 175399 SH SOLE 0 0 175399 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 607 7801 SH SOLE 0 0 7801 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 421 6312 SH SOLE 0 0 6312 VANGUARD WORLD FDS INF TECH ETF 92204A702 28709 265114 SH SOLE 0 0 265114 VERIZON COMMUNICATIONS INC COM 92343V104 302 6542 SH SOLE 0 0 6542 VISA INC COM CL A 92826C839 572 7379 SH SOLE 0 0 7379 WALGREENS BOOTS ALLIANCE INC COM 931427108 451 5300 SH SOLE 0 0 5300 WEC ENERGY GROUP INC COM 92939U106 1138 22170 SH SOLE 0 0 22170 WELLS FARGO & CO NEW COM 949746101 282 5184 SH SOLE 0 0 5184 WISDOMTREE TR DIV EX-FINL FD 97717W406 639 9085 SH SOLE 0 0 9085