0001062993-17-003522.txt : 20170804 0001062993-17-003522.hdr.sgml : 20170804 20170804143946 ACCESSION NUMBER: 0001062993-17-003522 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170630 FILED AS OF DATE: 20170804 DATE AS OF CHANGE: 20170804 EFFECTIVENESS DATE: 20170804 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: 171008192 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 06-30-2017 06-30-2017 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 08-04-2017 0 125 450417 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE 3M CO COM 88579Y101 243 1169 SH SOLE 0 0 1169 ABBOTT LABS COM 002824100 541 11125 SH SOLE 0 0 11125 ABBVIE INC COM 00287Y109 2638 36383 SH SOLE 0 0 36383 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 1024 8280 SH SOLE 0 0 8280 ALLIANT ENERGY CORP COM 018802108 602 14985 SH SOLE 0 0 14985 ALTRIA GROUP INC COM 02209S103 337 4523 SH SOLE 0 0 4523 AMAZON COM INC COM 023135106 237 245 SH SOLE 0 0 245 AMGEN INC COM 031162100 1169 6785 SH SOLE 0 0 6785 ANTHEM INC COM 036752103 744 3954 SH SOLE 0 0 3954 APPLE INC COM 037833100 4154 28844 SH SOLE 0 0 28844 ASSOCIATED BANC CORP COM 045487105 567 22499 SH SOLE 0 0 22499 AT&T INC COM 00206R102 1193 31629 SH SOLE 0 0 31629 BARCLAYS BK PLC IPATH S&P500 VIX 06740Q252 153 12000 SH SOLE 0 0 12000 BAXTER INTL INC COM 071813109 324 5358 SH SOLE 0 0 5358 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 292 1724 SH SOLE 0 0 1724 BOEING CO COM 097023105 426 2156 SH SOLE 0 0 2156 CAPITAL ONE FINL CORP COM 14040H105 1430 17313 SH SOLE 0 0 17313 CHEVRON CORP NEW COM 166764100 684 6552 SH SOLE 0 0 6552 CISCO SYS INC COM 17275R102 846 27040 SH SOLE 0 0 27040 CITIGROUP INC COM NEW 172967424 887 13263 SH SOLE 0 0 13263 COCA COLA CO COM 191216100 214 4771 SH SOLE 0 0 4771 COMCAST CORP NEW CL A 20030N101 1123 28860 SH SOLE 0 0 28860 CORNING INC COM 219350105 1130 37602 SH SOLE 0 0 37602 DIREXION SHS ETF TR DLY S&P500 BR 3X 25460E885 578 14000 SH SOLE 0 0 14000 DISCOVER FINL SVCS COM 254709108 975 15686 SH SOLE 0 0 15686 DISNEY WALT CO COM DISNEY 254687106 1060 9978 SH SOLE 0 0 9978 EATON CORP PLC SHS G29183103 452 5804 SH SOLE 0 0 5804 ENSYNC INC COM 29359T102 7 20000 SH SOLE 0 0 20000 EXXON MOBIL CORP COM 30231G102 887 10992 SH SOLE 0 0 10992 FIDELITY NATL INFORMATION SV COM 31620M106 1006 11782 SH SOLE 0 0 11782 FISERV INC COM 337738108 1336 10918 SH SOLE 0 0 10918 GENERAL ELECTRIC CO COM 369604103 494 18277 SH SOLE 0 0 18277 GENERAL MTRS CO COM 37045V100 813 23273 SH SOLE 0 0 23273 GLOBAL PMTS INC COM 37940X102 318 3521 SH SOLE 0 0 3521 HANCOCK JOHN PFD INCOME FD I COM 41021P103 326 17000 SH SOLE 0 0 17000 HANCOCK JOHN PFD INCOME FD SH BEN INT 41013W108 325 14882 SH SOLE 0 0 14882 HARLEY DAVIDSON INC COM 412822108 222 4114 SH SOLE 0 0 4114 HOME DEPOT INC COM 437076102 1457 9499 SH SOLE 0 0 9499 HONEYWELL INTL INC COM 438516106 279 2095 SH SOLE 0 0 2095 INGERSOLL-RAND PLC SHS G47791101 980 10728 SH SOLE 0 0 10728 INTEL CORP COM 458140100 1008 29886 SH SOLE 0 0 29886 INTERNATIONAL BUSINESS MACHS COM 459200101 348 2260 SH SOLE 0 0 2260 INTL PAPER CO COM 460146103 946 16711 SH SOLE 0 0 16711 ISHARES AGGRES ALLOC ETF 464289859 1851 35735 SH SOLE 0 0 35735 ISHARES CONSER ALLOC ETF 464289883 852 25075 SH SOLE 0 0 25075 ISHARES GRWT ALLOCAT ETF 464289867 1856 42550 SH SOLE 0 0 42550 ISHARES MODERT ALLOC ETF 464289875 1597 42860 SH SOLE 0 0 42860 ISHARES TR CORE HIGH DV ETF 46429B663 522 6275 SH SOLE 0 0 6275 ISHARES TR CORE S&P MCP ETF 464287507 9702 55777 SH SOLE 0 0 55777 ISHARES TR CORE S&P SCP ETF 464287804 27010 385256 SH SOLE 0 0 385256 ISHARES TR CORE S&P500 ETF 464287200 10717 44028 SH SOLE 0 0 44028 ISHARES TR IBOXX INV CP ETF 464287242 246 2044 SH SOLE 0 0 2044 ISHARES TR INTL SEL DIV ETF 464288448 690 21081 SH SOLE 0 0 21081 ISHARES TR RUS 1000 ETF 464287622 326 2412 SH SOLE 0 0 2412 ISHARES TR RUS 1000 GRW ETF 464287614 2801 23532 SH SOLE 0 0 23532 ISHARES TR RUS 1000 VAL ETF 464287598 2079 17855 SH SOLE 0 0 17855 ISHARES TR RUS 2000 GRW ETF 464287648 409 2426 SH SOLE 0 0 2426 ISHARES TR RUS 2000 VAL ETF 464287630 599 5038 SH SOLE 0 0 5038 ISHARES TR RUSSELL 2000 ETF 464287655 238 1687 SH SOLE 0 0 1687 ISHARES TR SELECT DIVID ETF 464287168 277 3001 SH SOLE 0 0 3001 ISHARES TR U.S. TECH ETF 464287721 249 1780 SH SOLE 0 0 1780 ISHARES TR US HLTHCARE ETF 464287762 208 1252 SH SOLE 0 0 1252 JOHNSON & JOHNSON COM 478160104 1163 8794 SH SOLE 0 0 8794 JOHNSON CTLS INTL PLC SHS G51502105 354 8163 SH SOLE 0 0 8163 JPMORGAN CHASE & CO COM 46625H100 1298 14206 SH SOLE 0 0 14206 KIMBERLY CLARK CORP COM 494368103 546 4228 SH SOLE 0 0 4228 LAM RESEARCH CORP COM 512807108 765 5407 SH SOLE 0 0 5407 LOCKHEED MARTIN CORP COM 539830109 864 3113 SH SOLE 0 0 3113 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 827 9805 SH SOLE 0 0 9805 MANITOWOC INC COM 563571108 104 17328 SH SOLE 0 0 17328 MAXWELL TECHNOLOGIES INC COM 577767106 60 10000 SH SOLE 0 0 10000 MCDONALDS CORP COM 580135101 274 1790 SH SOLE 0 0 1790 MGE ENERGY INC COM 55277P104 210 3263 SH SOLE 0 0 3263 MICROSOFT CORP COM 594918104 1857 26937 SH SOLE 0 0 26937 NETAPP INC COM 64110D104 799 19946 SH SOLE 0 0 19946 NEXTERA ENERGY INC COM 65339F101 1126 8033 SH SOLE 0 0 8033 NUVEEN MUN VALUE FD INC COM 670928100 100 10000 SH SOLE 0 0 10000 ORACLE CORP COM 68389X105 1810 36103 SH SOLE 0 0 36103 PEPSICO INC COM 713448108 572 4954 SH SOLE 0 0 4954 PFIZER INC COM 717081103 1182 35187 SH SOLE 0 0 35187 PHILIP MORRIS INTL INC COM 718172109 355 3023 SH SOLE 0 0 3023 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 1086 10674 SH SOLE 0 0 10674 POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 378 8458 SH SOLE 0 0 8458 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 558 4054 SH SOLE 0 0 4054 PROCTER AND GAMBLE CO COM 742718109 213 2443 SH SOLE 0 0 2443 PRUDENTIAL FINL INC COM 744320102 947 8756 SH SOLE 0 0 8756 QUALCOMM INC COM 747525103 887 16059 SH SOLE 0 0 16059 RAYTHEON CO COM NEW 755111507 827 5118 SH SOLE 0 0 5118 REPUBLIC SVCS INC COM 760759100 791 12411 SH SOLE 0 0 12411 ROADRUNNER TRNSN SVCS HLDG I COM 76973Q105 138 18987 SH SOLE 0 0 18987 ROCKET FUEL INC COM 773111109 29 10700 SH SOLE 0 0 10700 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 38218 412362 SH SOLE 0 0 412362 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 258 4418 SH SOLE 0 0 4418 SCRIPPS E W CO OHIO CL A NEW 811054402 575 32268 SH SOLE 0 0 32268 SEAGATE TECHNOLOGY PLC SHS G7945M107 911 23500 SH SOLE 0 0 23500 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 34150 381010 SH SOLE 0 0 381010 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 33791 426444 SH SOLE 0 0 426444 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 29296 1187514 SH SOLE 0 0 1187514 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 302 5518 SH SOLE 0 0 5518 SOUTHWEST AIRLS CO COM 844741108 1630 26235 SH SOLE 0 0 26235 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 201 941 SH SOLE 0 0 941 SPDR S&P 500 ETF TR TR UNIT 78462F103 1967 8133 SH SOLE 0 0 8133 SPDR SERIES TRUST S&P DIVID ETF 78464A763 328 3695 SH SOLE 0 0 3695 UNITEDHEALTH GROUP INC COM 91324P102 1123 6058 SH SOLE 0 0 6058 US BANCORP DEL COM NEW 902973304 239 4602 SH SOLE 0 0 4602 VALERO ENERGY CORP NEW COM 91913Y100 1016 15067 SH SOLE 0 0 15067 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 1861 23310 SH SOLE 0 0 23310 VANGUARD INDEX FDS GROWTH ETF 922908736 249 1957 SH SOLE 0 0 1957 VANGUARD INDEX FDS SMALL CP ETF 922908751 37498 276658 SH SOLE 0 0 276658 VANGUARD INDEX FDS TOTAL STK MKT 922908769 78141 627887 SH SOLE 0 0 627887 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 9232 184536 SH SOLE 0 0 184536 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 690 7446 SH SOLE 0 0 7446 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 14723 356328 SH SOLE 0 0 356328 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 363 4644 SH SOLE 0 0 4644 VANGUARD WORLD FDS INF TECH ETF 92204A702 38561 273793 SH SOLE 0 0 273793 VISA INC COM CL A 92826C839 805 8581 SH SOLE 0 0 8581 VODAFONE GROUP PLC NEW SPONSORED ADR 92857W308 630 21923 SH SOLE 0 0 21923 WALGREENS BOOTS ALLIANCE INC COM 931427108 487 6213 SH SOLE 0 0 6213 WAL-MART STORES INC COM 931142103 686 9064 SH SOLE 0 0 9064 WEC ENERGY GROUP INC COM 92939U106 2682 43700 SH SOLE 0 0 43700 WEIBO CORP SPONSORED ADR 948596101 332 5000 SH SOLE 0 0 5000 WELBILT INC COM 949090104 327 17335 SH SOLE 0 0 17335 WELLS FARGO CO NEW COM 949746101 326 5877 SH SOLE 0 0 5877 WELLTOWER INC COM 95040Q104 1254 16748 SH SOLE 0 0 16748 WISDOMTREE TR US DIVID EX FNCL 97717W406 441 5363 SH SOLE 0 0 5363