0001062993-18-001897.txt : 20180503 0001062993-18-001897.hdr.sgml : 20180503 20180503111548 ACCESSION NUMBER: 0001062993-18-001897 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180331 FILED AS OF DATE: 20180503 DATE AS OF CHANGE: 20180503 EFFECTIVENESS DATE: 20180503 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: 18802417 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 03-31-2018 03-31-2018 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 05-01-2018 0 129 549768 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE 3M CO COM 88579Y101 270 1229 SH SOLE 0 0 1229 ABBOTT LABS COM 002824100 903 15066 SH SOLE 0 0 15066 ABBVIE INC COM 00287Y109 4170 44056 SH SOLE 0 0 44056 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 1620 10557 SH SOLE 0 0 10557 ALLIANT ENERGY CORP COM 018802108 388 9500 SH SOLE 0 0 9500 ALPHABET INC CAP STK CL A 02079K305 256 247 SH SOLE 0 0 247 ALTRIA GROUP INC COM 02209S103 248 3984 SH SOLE 0 0 3984 AMAZON COM INC COM 023135106 638 441 SH SOLE 0 0 441 AMGEN INC COM 031162100 1440 8447 SH SOLE 0 0 8447 ANNALY CAP MGMT INC COM 035710409 123 11790 SH SOLE 0 0 11790 ANTHEM INC COM 036752103 1110 5050 SH SOLE 0 0 5050 APPLE INC COM 037833100 4760 28371 SH SOLE 0 0 28371 ASSOCIATED BANC CORP COM 045487105 536 21579 SH SOLE 0 0 21579 ASSURANT INC COM 04621X108 359 3932 SH SOLE 0 0 3932 AT&T INC COM 00206R102 1357 38071 SH SOLE 0 0 38071 BANK AMER CORP COM 060505104 1704 56835 SH SOLE 0 0 56835 BAXTER INTL INC COM 071813109 355 5459 SH SOLE 0 0 5459 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 329 1649 SH SOLE 0 0 1649 BHP BILLITON LTD SPONSORED ADR 088606108 1193 26853 SH SOLE 0 0 26853 BOEING CO COM 097023105 623 1899 SH SOLE 0 0 1899 CAPITAL ONE FINL CORP COM 14040H105 2161 22552 SH SOLE 0 0 22552 CHEVRON CORP NEW COM 166764100 615 5389 SH SOLE 0 0 5389 CISCO SYS INC COM 17275R102 1533 35746 SH SOLE 0 0 35746 CITIGROUP INC COM NEW 172967424 1403 20783 SH SOLE 0 0 20783 COLONY NORTHSTAR INC CL A COM 19625W104 69 12350 SH SOLE 0 0 12350 CORNING INC COM 219350105 1298 46555 SH SOLE 0 0 46555 DISNEY WALT CO COM DISNEY 254687106 281 2796 SH SOLE 0 0 2796 EATON CORP PLC SHS G29183103 507 6343 SH SOLE 0 0 6343 ENSYNC INC COM 29359T102 8 20000 SH SOLE 0 0 20000 EXXON MOBIL CORP COM 30231G102 736 9860 SH SOLE 0 0 9860 FIDELITY NATL INFORMATION SV COM 31620M106 1035 10745 SH SOLE 0 0 10745 FISERV INC COM 337738108 1199 16821 SH SOLE 0 0 16821 GENERAL ELECTRIC CO COM 369604103 160 11895 SH SOLE 0 0 11895 GENERAL MTRS CO COM 37045V100 1203 33104 SH SOLE 0 0 33104 GILEAD SCIENCES INC COM 375558103 1413 18747 SH SOLE 0 0 18747 GLOBAL PMTS INC COM 37940X102 393 3521 SH SOLE 0 0 3521 HANCOCK JOHN PFD INCOME FD I COM 41021P103 247 14025 SH SOLE 0 0 14025 HANCOCK JOHN PFD INCOME FD SH BEN INT 41013W108 268 13107 SH SOLE 0 0 13107 HOME DEPOT INC COM 437076102 1984 11129 SH SOLE 0 0 11129 HONEYWELL INTL INC COM 438516106 316 2185 SH SOLE 0 0 2185 INTEL CORP COM 458140100 1992 38255 SH SOLE 0 0 38255 INTERNATIONAL BUSINESS MACHS COM 459200101 1539 10030 SH SOLE 0 0 10030 ISHARES TR AGGRES ALLOC ETF 464289859 2205 41212 SH SOLE 0 0 41212 ISHARES TR CONSER ALLOC ETF 464289883 1072 31290 SH SOLE 0 0 31290 ISHARES TR CORE HIGH DV ETF 46429B663 443 5246 SH SOLE 0 0 5246 ISHARES TR CORE S&P MCP ETF 464287507 10352 55187 SH SOLE 0 0 55187 ISHARES TR CORE S&P SCP ETF 464287804 30262 392966 SH SOLE 0 0 392966 ISHARES TR CORE S&P500 ETF 464287200 11541 43491 SH SOLE 0 0 43491 ISHARES TR GRWT ALLOCAT ETF 464289867 2317 51992 SH SOLE 0 0 51992 ISHARES TR INTL SEL DIV ETF 464288448 799 24205 SH SOLE 0 0 24205 ISHARES TR MODERT ALLOC ETF 464289875 2004 53063 SH SOLE 0 0 53063 ISHARES TR RUS 1000 ETF 464287622 330 2249 SH SOLE 0 0 2249 ISHARES TR RUS 1000 GRW ETF 464287614 2529 18583 SH SOLE 0 0 18583 ISHARES TR RUS 1000 VAL ETF 464287598 1957 16311 SH SOLE 0 0 16311 ISHARES TR RUS 2000 GRW ETF 464287648 205 1078 SH SOLE 0 0 1078 ISHARES TR RUS 2000 VAL ETF 464287630 452 3707 SH SOLE 0 0 3707 ISHARES TR RUSSELL 2000 ETF 464287655 398 2619 SH SOLE 0 0 2619 ISHARES TR SELECT DIVID ETF 464287168 276 2901 SH SOLE 0 0 2901 JOHNSON & JOHNSON COM 478160104 385 3002 SH SOLE 0 0 3002 JPMORGAN CHASE & CO COM 46625H100 1956 17791 SH SOLE 0 0 17791 KIMBERLY CLARK CORP COM 494368103 387 3511 SH SOLE 0 0 3511 LAM RESEARCH CORP COM 512807108 1305 6421 SH SOLE 0 0 6421 LAS VEGAS SANDS CORP COM 517834107 1251 17398 SH SOLE 0 0 17398 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 1405 13293 SH SOLE 0 0 13293 MAXWELL TECHNOLOGIES INC COM 577767106 59 10000 SH SOLE 0 0 10000 MCDONALDS CORP COM 580135101 275 1757 SH SOLE 0 0 1757 MICROSOFT CORP COM 594918104 3089 33845 SH SOLE 0 0 33845 MORGAN STANLEY COM NEW 617446448 1419 26296 SH SOLE 0 0 26296 NETAPP INC COM 64110D104 1483 24037 SH SOLE 0 0 24037 NUVEEN MUN VALUE FD INC COM 670928100 95 10000 SH SOLE 0 0 10000 ORACLE CORP COM 68389X105 2112 46159 SH SOLE 0 0 46159 PEPSICO INC COM 713448108 564 5168 SH SOLE 0 0 5168 PFIZER INC COM 717081103 1499 42227 SH SOLE 0 0 42227 PHILIP MORRIS INTL INC COM 718172109 973 9791 SH SOLE 0 0 9791 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 1931 19012 SH SOLE 0 0 19012 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 403 2514 SH SOLE 0 0 2514 PROCTER AND GAMBLE CO COM 742718109 252 3179 SH SOLE 0 0 3179 QUALCOMM INC COM 747525103 1306 23577 SH SOLE 0 0 23577 REGIONS FINL CORP NEW COM 7591EP100 1402 75466 SH SOLE 0 0 75466 RMR REAL ESTATE INCOME FUND COM 76970B101 233 13981 SH SOLE 0 0 13981 ROADRUNNER TRNSN SVCS HLDG I COM 76973Q105 48 18987 SH SOLE 0 0 18987 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 45378 456154 SH SOLE 0 0 456154 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 223 3497 SH SOLE 0 0 3497 SCRIPPS E W CO OHIO CL A NEW 811054402 289 24103 SH SOLE 0 0 24103 SEAGATE TECHNOLOGY PLC SHS G7945M107 3154 53888 SH SOLE 0 0 53888 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 41240 407152 SH SOLE 0 0 407152 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 37898 465573 SH SOLE 0 0 465573 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 39466 1431479 SH SOLE 0 0 1431479 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 308 4714 SH SOLE 0 0 4714 SMITH A O COM 831865209 235 3688 SH SOLE 0 0 3688 SOUTHWEST AIRLS CO COM 844741108 2044 35681 SH SOLE 0 0 35681 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 1586 50477 SH SOLE 0 0 50477 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 909 23125 SH SOLE 0 0 23125 SPDR S&P 500 ETF TR TR UNIT 78462F103 2786 10589 SH SOLE 0 0 10589 SPDR SER TR PORTFOLIO SM ETF 78468R853 9665 323015 SH SOLE 0 0 323015 SPDR SERIES TRUST PORTFOLIO LR ETF 78464A854 1734 56048 SH SOLE 0 0 56048 SPDR SERIES TRUST PORTFOLIO MD ETF 78464A847 1133 34178 SH SOLE 0 0 34178 SPDR SERIES TRUST PORTFOLIO TL STK 78464A805 15564 474232 SH SOLE 0 0 474232 SPDR SERIES TRUST S&P DIVID ETF 78464A763 217 2376 SH SOLE 0 0 2376 TARGET CORP COM 87612E106 1216 17511 SH SOLE 0 0 17511 TEXAS INSTRS INC COM 882508104 849 8176 SH SOLE 0 0 8176 TOTAL S A SPONSORED ADR 89151E109 1193 20671 SH SOLE 0 0 20671 TRANSENTERIX INC COM NEW 89366M201 22 13100 SH SOLE 0 0 13100 UNITEDHEALTH GROUP INC COM 91324P102 1574 7357 SH SOLE 0 0 7357 US BANCORP DEL COM NEW 902973304 280 5536 SH SOLE 0 0 5536 VALERO ENERGY CORP NEW COM 91913Y100 1772 19102 SH SOLE 0 0 19102 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 1070 13637 SH SOLE 0 0 13637 VANGUARD GROUP DIV APP ETF 921908844 648 6412 SH SOLE 0 0 6412 VANGUARD INDEX FDS GROWTH ETF 922908736 243 1715 SH SOLE 0 0 1715 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 906 12003 SH SOLE 0 0 12003 VANGUARD INDEX FDS SMALL CP ETF 922908751 43085 293255 SH SOLE 0 0 293255 VANGUARD INDEX FDS TOTAL STK MKT 922908769 76961 567061 SH SOLE 0 0 567061 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 9601 176577 SH SOLE 0 0 176577 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 901 14788 SH SOLE 0 0 14788 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 16168 365371 SH SOLE 0 0 365371 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 284 3441 SH SOLE 0 0 3441 VANGUARD WORLD FDS INF TECH ETF 92204A702 43592 254922 SH SOLE 0 0 254922 VANGUARD WORLD FDS UTILITIES ETF 92204A876 841 7526 SH SOLE 0 0 7526 VISA INC COM CL A 92826C839 1225 10243 SH SOLE 0 0 10243 VITAL THERAPIES INC COM 92847R104 190 28000 SH SOLE 0 0 28000 VODAFONE GROUP PLC NEW SPONSORED ADR 92857W308 1061 38144 SH SOLE 0 0 38144 WALGREENS BOOTS ALLIANCE INC COM 931427108 285 4351 SH SOLE 0 0 4351 WALMART INC COM 931142103 2361 26538 SH SOLE 0 0 26538 WEC ENERGY GROUP INC COM 92939U106 3213 51242 SH SOLE 0 0 51242 WEIBO CORP SPONSORED ADR 948596101 753 6300 SH SOLE 0 0 6300 WELBILT INC COM 949090104 337 17335 SH SOLE 0 0 17335 WELLS FARGO CO NEW COM 949746101 271 5168 SH SOLE 0 0 5168 WELLTOWER INC COM 95040Q104 957 17575 SH SOLE 0 0 17575 WISDOMTREE TR US DIVID EX FNCL 97717W406 364 4300 SH SOLE 0 0 4300