0001062993-16-012253.txt : 20161114 0001062993-16-012253.hdr.sgml : 20161111 20161114110955 ACCESSION NUMBER: 0001062993-16-012253 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161114 DATE AS OF CHANGE: 20161114 EFFECTIVENESS DATE: 20161114 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: 161992119 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 09-30-2016 09-30-2016 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 11-11-2016 0 111 384413 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE 3M CO COM 88579Y101 804 4563 SH SOLE 0 0 4563 ABBOTT LABS COM 002824100 462 10924 SH SOLE 0 0 10924 ABBVIE INC COM 00287Y109 1508 23904 SH SOLE 0 0 23904 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 759 6214 SH SOLE 0 0 6214 ALLIANT ENERGY CORP COM 018802108 549 14321 SH SOLE 0 0 14321 ALTRIA GROUP INC COM 02209S103 885 13993 SH SOLE 0 0 13993 AMGEN INC COM 031162100 770 4614 SH SOLE 0 0 4614 APPLE INC COM 037833100 2931 25923 SH SOLE 0 0 25923 ASSOCIATED BANC CORP COM 045487105 549 28049 SH SOLE 0 0 28049 AT&T INC COM 00206R102 1147 28254 SH SOLE 0 0 28254 BAXTER INTL INC COM 071813109 254 5344 SH SOLE 0 0 5344 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 258 1783 SH SOLE 0 0 1783 BLACKROCK INC COM 09247X101 574 1583 SH SOLE 0 0 1583 CAPITAL ONE FINL CORP COM 14040H105 669 9313 SH SOLE 0 0 9313 CARDINAL HEALTH INC COM 14149Y108 637 8195 SH SOLE 0 0 8195 CHEVRON CORP NEW COM 166764100 720 6998 SH SOLE 0 0 6998 COMCAST CORP NEW CL A 20030N101 800 12062 SH SOLE 0 0 12062 CORNING INC COM 219350105 736 31112 SH SOLE 0 0 31112 CREDIT SUISSE ASSET MGMT INC COM 224916106 49 15635 SH SOLE 0 0 15635 CREDIT SUISSE HIGH YLD BND F SH BEN INT 22544F103 32 12400 SH SOLE 0 0 12400 CVS HEALTH CORP COM 126650100 201 2258 SH SOLE 0 0 2258 DELPHI AUTOMOTIVE PLC SHS G27823106 579 8123 SH SOLE 0 0 8123 DISCOVER FINL SVCS COM 254709108 709 12530 SH SOLE 0 0 12530 DISNEY WALT CO COM DISNEY 254687106 782 8419 SH SOLE 0 0 8419 DR PEPPER SNAPPLE GROUP INC COM 26138E109 650 7122 SH SOLE 0 0 7122 EATON CORP PLC SHS G29183103 492 7494 SH SOLE 0 0 7494 ENSYNC INC COM 29359T102 20 20000 SH SOLE 0 0 20000 EXXON MOBIL CORP COM 30231G102 722 8269 SH SOLE 0 0 8269 FIDELITY NATL INFORMATION SV COM 31620M106 479 6215 SH SOLE 0 0 6215 FISERV INC COM 337738108 1122 11278 SH SOLE 0 0 11278 GENERAL ELECTRIC CO COM 369604103 489 16500 SH SOLE 0 0 16500 GILEAD SCIENCES INC COM 375558103 288 3641 SH SOLE 0 0 3641 GLOBAL PMTS INC COM 37940X102 266 3460 SH SOLE 0 0 3460 HARLEY DAVIDSON INC COM 412822108 312 5932 SH SOLE 0 0 5932 HOME DEPOT INC COM 437076102 1142 8874 SH SOLE 0 0 8874 INTEL CORP COM 458140100 859 22750 SH SOLE 0 0 22750 INTERNATIONAL BUSINESS MACHS COM 459200101 287 1808 SH SOLE 0 0 1808 INTL PAPER CO COM 460146103 600 12500 SH SOLE 0 0 12500 ISHARES AGGRES ALLOC ETF 464289859 1561 32883 SH SOLE 0 0 32883 ISHARES CONSER ALLOC ETF 464289883 531 15896 SH SOLE 0 0 15896 ISHARES GRWT ALLOCAT ETF 464289867 1459 35462 SH SOLE 0 0 35462 ISHARES MODERT ALLOC ETF 464289875 1322 36628 SH SOLE 0 0 36628 ISHARES TR CORE HIGH DV ETF 46429B663 594 7303 SH SOLE 0 0 7303 ISHARES TR CORE S&P MCP ETF 464287507 7498 48465 SH SOLE 0 0 48465 ISHARES TR CORE S&P SCP ETF 464287804 21039 169463 SH SOLE 0 0 169463 ISHARES TR CORE S&P500 ETF 464287200 8115 37301 SH SOLE 0 0 37301 ISHARES TR INTL SEL DIV ETF 464288448 227 7561 SH SOLE 0 0 7561 ISHARES TR RUS 1000 ETF 464287622 278 2311 SH SOLE 0 0 2311 ISHARES TR RUS 1000 GRW ETF 464287614 2587 24835 SH SOLE 0 0 24835 ISHARES TR RUS 1000 VAL ETF 464287598 2104 19917 SH SOLE 0 0 19917 ISHARES TR RUS 2000 GRW ETF 464287648 403 2710 SH SOLE 0 0 2710 ISHARES TR RUS 2000 VAL ETF 464287630 572 5460 SH SOLE 0 0 5460 ISHARES TR RUSSELL 2000 ETF 464287655 206 1657 SH SOLE 0 0 1657 ISHARES TR SELECT DIVID ETF 464287168 361 4217 SH SOLE 0 0 4217 ISHARES TR U.S. TECH ETF 464287721 232 1946 SH SOLE 0 0 1946 ISHARES TR US HLTHCARE ETF 464287762 206 1374 SH SOLE 0 0 1374 JOHNSON & JOHNSON COM 478160104 309 2619 SH SOLE 0 0 2619 JOHNSON CTLS INC COM 478366107 934 20065 SH SOLE 0 0 20065 JPMORGAN CHASE & CO COM 46625H100 732 10986 SH SOLE 0 0 10986 KELSO TECHNOLOGIES INC COM NEW 48826D201 16 17000 SH SOLE 0 0 17000 KIMBERLY CLARK CORP COM 494368103 833 6603 SH SOLE 0 0 6603 KROGER CO COM 501044101 575 19381 SH SOLE 0 0 19381 LOCKHEED MARTIN CORP COM 539830109 850 3545 SH SOLE 0 0 3545 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 571 7077 SH SOLE 0 0 7077 MAD CATZ INTERACTIVE INC COM 556162105 3 15000 SH SOLE 0 0 15000 MAXWELL TECHNOLOGIES INC COM 577767106 52 10000 SH SOLE 0 0 10000 MEDTRONIC PLC SHS G5960L103 686 7939 SH SOLE 0 0 7939 MERCK & CO INC COM 58933Y105 769 12314 SH SOLE 0 0 12314 MGE ENERGY INC COM 55277P104 205 3626 SH SOLE 0 0 3626 MICROSOFT CORP COM 594918104 1392 24168 SH SOLE 0 0 24168 MOODYS CORP COM 615369105 690 6373 SH SOLE 0 0 6373 NEXTERA ENERGY INC COM 65339F101 881 7203 SH SOLE 0 0 7203 ORACLE CORP COM 68389X105 815 20761 SH SOLE 0 0 20761 PEPSICO INC COM 713448108 568 5223 SH SOLE 0 0 5223 PFIZER INC COM 717081103 931 27473 SH SOLE 0 0 27473 PHILIP MORRIS INTL INC COM 718172109 327 3366 SH SOLE 0 0 3366 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 632 6237 SH SOLE 0 0 6237 POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 401 9668 SH SOLE 0 0 9668 RAYTHEON CO COM NEW 755111507 701 5151 SH SOLE 0 0 5151 ROADRUNNER TRNSN SVCS HLDG I COM 76973Q105 152 18987 SH SOLE 0 0 18987 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 30170 360930 SH SOLE 0 0 360930 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 348 6649 SH SOLE 0 0 6649 SCRIPPS E W CO OHIO CL A NEW 811054402 700 44011 SH SOLE 0 0 44011 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 27442 342859 SH SOLE 0 0 342859 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 26942 373617 SH SOLE 0 0 373617 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 280 5865 SH SOLE 0 0 5865 SOUTHWEST AIRLS CO COM 844741108 710 18257 SH SOLE 0 0 18257 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 287 1571 SH SOLE 0 0 1571 SPDR S&P 500 ETF TR TR UNIT 78462F103 1612 7451 SH SOLE 0 0 7451 SPDR SERIES TRUST S&P DIVID ETF 78464A763 308 3649 SH SOLE 0 0 3649 SYSCO CORP COM 871829107 624 12725 SH SOLE 0 0 12725 TRAVELERS COMPANIES INC COM 89417E109 496 4332 SH SOLE 0 0 4332 UNITEDHEALTH GROUP INC COM 91324P102 340 2426 SH SOLE 0 0 2426 VALERO ENERGY CORP NEW COM 91913Y100 549 10362 SH SOLE 0 0 10362 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 27862 344697 SH SOLE 0 0 344697 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 49954 891400 SH SOLE 0 0 891400 VANGUARD INDEX FDS GROWTH ETF 922908736 207 1839 SH SOLE 0 0 1839 VANGUARD INDEX FDS SMALL CP ETF 922908751 18622 152416 SH SOLE 0 0 152416 VANGUARD INDEX FDS TOTAL STK MKT 922908769 60926 547260 SH SOLE 0 0 547260 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 7125 156830 SH SOLE 0 0 156830 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 689 8215 SH SOLE 0 0 8215 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 3106 83037 SH SOLE 0 0 83037 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 337 4665 SH SOLE 0 0 4665 VANGUARD WORLD FDS INF TECH ETF 92204A702 30880 256541 SH SOLE 0 0 256541 VERIZON COMMUNICATIONS INC COM 92343V104 906 17439 SH SOLE 0 0 17439 VISA INC COM CL A 92826C839 1023 12367 SH SOLE 0 0 12367 WALGREENS BOOTS ALLIANCE INC COM 931427108 351 4353 SH SOLE 0 0 4353 WEC ENERGY GROUP INC COM 92939U106 2430 40574 SH SOLE 0 0 40574 WELLS FARGO & CO NEW COM 949746101 273 6175 SH SOLE 0 0 6175 WESTPORT FUEL SYSTEMS INC COM NEW 960908309 16 10213 SH SOLE 0 0 10213 WISDOMTREE TR DIV EX-FINL FD 97717W406 486 6180 SH SOLE 0 0 6180