Chief Compliance Officer

0001085146-21-002130.txt : 20210729 0001085146-21-002130.hdr.sgml : 20210729 20210729151859 ACCESSION NUMBER: 0001085146-21-002130 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210630 FILED AS OF DATE: 20210729 DATE AS OF CHANGE: 20210729 EFFECTIVENESS DATE: 20210729 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: 211126957 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 false false 0001542287 XXXXXXXX 06-30-2021 06-30-2021 false Annex Advisory Services, LLC

12700 W. BLUEMOUND ROAD SUITE 200 ELM GROVE WI 53122

13F HOLDINGS REPORT 028-15012 N Naomi Ackley Chief Compliance Officer 262-786-6363 /s/ Naomi Ackley Elm Groove WI 07-20-2021 0 218 1233555 false INFORMATION TABLE 2 infotable.xml INFORMATION TABLE 3M CO COM 88579Y101 349 1756 SH SOLE 0 0 1756 ABBOTT LABS COM 002824100 3442 29694 SH SOLE 0 0 29694 ABBVIE INC COM 00287Y109 14967 132770 SH SOLE 0 0 132770 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 368 1246 SH SOLE 0 0 1246 ADOBE SYSTEMS INCORPORATED COM 00724F101 5974 10171 SH SOLE 0 0 10171 ALLIANT ENERGY CORP COM 018802108 608 10917 SH SOLE 0 0 10917 ALLSTATE CORP COM 020002101 5944 45546 SH SOLE 0 0 45546 ALPHABET INC CAP STK CL A 02079K305 1192 489 SH SOLE 0 0 489 ALPHABET INC CAP STK CL C 02079K107 767 306 SH SOLE 0 0 306 ALTRIA GROUP INC COM 02209S103 3420 71723 SH SOLE 0 0 71723 AMAZON COM INC COM 023135106 10588 3082 SH SOLE 0 0 3082 AMERICAN EXPRESS CO COM 025816109 237 1437 SH SOLE 0 0 1437 AMERISOURCEBERGEN CORP COM 03073E105 875 7651 SH SOLE 0 0 7651 AMGEN INC COM 031162100 3513 14401 SH SOLE 0 0 14401 ANTHEM INC COM 036752103 222 582 SH SOLE 0 0 582 APPLE INC COM 037833100 30069 219378 SH SOLE 0 0 219378 APPLIED MATLS INC COM 038222105 4993 35075 SH SOLE 0 0 35075 APTARGROUP INC COM 038336103 319 2265 SH SOLE 0 0 2265 ASSOCIATED BANC CORP COM 045487105 270 13178 SH SOLE 0 0 13178 ASSURANT INC COM 04621X108 2126 13611 SH SOLE 0 0 13611 AT&T INC COM 00206R102 987 34354 SH SOLE 0 0 34354 BALCHEM CORP COM 057665200 791 6012 SH SOLE 0 0 6012 BANK FIRST CORP COM 06211J100 965 13836 SH SOLE 0 0 13836 BANK MONTREAL QUE COM 063671101 437 4264 SH SOLE 0 0 4264 BARRICK GOLD CORP COM 067901108 3231 156357 SH SOLE 0 0 156357 BAXTER INTL INC COM 071813109 462 5736 SH SOLE 0 0 5736 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1110 3992 SH SOLE 0 0 3992 BK OF AMERICA CORP COM 060505104 4024 97817 SH SOLE 0 0 97817 BLACKSTONE GROUP INC COM 09260D107 388 4003 SH SOLE 0 0 4003 BOEING CO COM 097023105 6028 25237 SH SOLE 0 0 25237 BRIGHTSPIRE CAPITAL INC COM CL A 10949T109 144 15297 SH SOLE 0 0 15297 BRISTOL-MYERS SQUIBB CO COM 110122108 4219 63176 SH SOLE 0 0 63176 BROADCOM INC COM 11135F101 230 482 SH SOLE 0 0 482 BROADMARK RLTY CAP INC COM 11135B100 139 13152 SH SOLE 0 0 13152 BRP INC COM SUN VTG 05577W200 349 4450 SH SOLE 0 0 4450 CATERPILLAR INC COM 149123101 409 1882 SH SOLE 0 0 1882 CHEVRON CORP NEW COM 166764100 5746 54926 SH SOLE 0 0 54926 CINTAS CORP COM 172908105 3534 9196 SH SOLE 0 0 9196 COCA COLA CO COM 191216100 369 6831 SH SOLE 0 0 6831 COLGATE PALMOLIVE CO COM 194162103 288 3541 SH SOLE 0 0 3541 COMCAST CORP NEW CL A 20030N101 4454 78043 SH SOLE 0 0 78043 COMPUTE HEALTH ACQUISITIN CO UNIT 99/99/9999 204833206 102 10000 SH SOLE 0 0 10000 COSTCO WHSL CORP NEW COM 22160K105 2951 7409 SH SOLE 0 0 7409 CROWN HLDGS INC COM 228368106 3468 33719 SH SOLE 0 0 33719 D R HORTON INC COM 23331A109 7270 80609 SH SOLE 0 0 80609 DANAHER CORPORATION COM 235851102 235 880 SH SOLE 0 0 880 DISCOVERY INC COM SER A 25470F104 316 10355 SH SOLE 0 0 10355 DISNEY WALT CO COM 254687106 6099 34517 SH SOLE 0 0 34517 DOCUSIGN INC COM 256163106 1724 6174 SH SOLE 0 0 6174 DOVER CORP COM 260003108 3267 21698 SH SOLE 0 0 21698 DOW INC COM 260557103 259 4090 SH SOLE 0 0 4090 DUKE ENERGY CORP NEW COM NEW 26441C204 252 2557 SH SOLE 0 0 2557 DUPONT DE NEMOURS INC COM 26614N102 420 5425 SH SOLE 0 0 5425 EATON CORP PLC SHS G29183103 4641 31286 SH SOLE 0 0 31286 ECOLAB INC COM 278865100 355 1726 SH SOLE 0 0 1726 ENPHASE ENERGY INC COM 29355A107 3278 17850 SH SOLE 0 0 17850 EXACT SCIENCES CORP COM 30063P105 359 2889 SH SOLE 0 0 2889 EXXON MOBIL CORP COM 30231G102 640 10141 SH SOLE 0 0 10141 FACEBOOK INC CL A 30303M102 973 2798 SH SOLE 0 0 2798 FEDEX CORP COM 31428X106 656 2220 SH SOLE 0 0 2220 FIDELITY NATL INFORMATION SV COM 31620M106 1697 11990 SH SOLE 0 0 11990 FIRST MIDWEST BANCORP DEL COM 320867104 558 28116 SH SOLE 0 0 28116 FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 335 3900 SH SOLE 0 0 3900 FISERV INC COM 337738108 2110 19739 SH SOLE 0 0 19739 FORD MTR CO DEL COM 345370860 435 29261 SH SOLE 0 0 29261 FREEPORT-MCMORAN INC CL B 35671D857 4956 133484 SH SOLE 0 0 133484 GENERAC HLDGS INC COM 368736104 582 1415 SH SOLE 0 0 1415 GENERAL ELECTRIC CO COM 369604103 287 21381 SH SOLE 0 0 21381 GLOBAL PMTS INC COM 37940X102 583 3105 SH SOLE 0 0 3105 GOLDMAN SACHS GROUP INC COM 38141G104 5298 13967 SH SOLE 0 0 13967 HANNON ARMSTRONG SUST INFR C COM 41068X100 1619 28882 SH SOLE 0 0 28882 HOME DEPOT INC COM 437076102 5803 18164 SH SOLE 0 0 18164 HONEYWELL INTL INC COM 438516106 4736 21692 SH SOLE 0 0 21692 ILLUMINA INC COM 452327109 4118 8707 SH SOLE 0 0 8707 INPHI CORP NOTE 0.750% 9/0 45772FAC1 2759 47362 PRN SOLE 0 0 47362 INTEL CORP COM 458140100 533 9485 SH SOLE 0 0 9485 INTERNATIONAL BUSINESS MACHS COM 459200101 3470 23491 SH SOLE 0 0 23491 INVESCO EXCH TRADED FD TR II EMRNG MKT SVRG 46138E784 3447 124777 SH SOLE 0 0 124777 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 377 2500 SH SOLE 0 0 2500 INVESCO QQQ TR UNIT SER 1 46090E103 925 2607 SH SOLE 0 0 2607 ISHARES TR 1 3 YR TREAS BD 464287457 464 5385 SH SOLE 0 0 5385 ISHARES TR AGGRES ALLOC ETF 464289859 2591 36670 SH SOLE 0 0 36670 ISHARES TR CONSER ALLOC ETF 464289883 1361 34209 SH SOLE 0 0 34209 ISHARES TR CORE MSCI EAFE 46432F842 591 7898 SH SOLE 0 0 7898 ISHARES TR CORE S&P SCP ETF 464287804 30235 267602 SH SOLE 0 0 267602 ISHARES TR CORE S&P500 ETF 464287200 15579 36250 SH SOLE 0 0 36250 ISHARES TR GRWT ALLOCAT ETF 464289867 2597 46351 SH SOLE 0 0 46351 ISHARES TR INTL SEL DIV ETF 464288448 2026 62491 SH SOLE 0 0 62491 ISHARES TR MODERT ALLOC ETF 464289875 2092 46416 SH SOLE 0 0 46416 ISHARES TR MORNINGSTAR GRWT 464287119 267 4125 SH SOLE 0 0 4125 ISHARES TR MSCI USA MIN VOL 46429B697 213 2886 SH SOLE 0 0 2886 ISHARES TR PFD AND INCM SEC 464288687 7039 178836 SH SOLE 0 0 178836 ISHARES TR RUS 1000 ETF 464287622 251 1036 SH SOLE 0 0 1036 ISHARES TR RUS 1000 GRW ETF 464287614 2535 9340 SH SOLE 0 0 9340 ISHARES TR RUS 1000 VAL ETF 464287598 1006 6354 SH SOLE 0 0 6354 ISHARES TR RUS 2000 VAL ETF 464287630 254 1530 SH SOLE 0 0 1530 ISHARES TR RUSSELL 2000 ETF 464287655 383 1670 SH SOLE 0 0 1670 ISHARES TR S&P 500 GRWT ETF 464287309 247 3392 SH SOLE 0 0 3392 ISHARES TR SELECT DIVID ETF 464287168 241 2064 SH SOLE 0 0 2064 ISHARES TR SHRT NAT MUN ETF 464288158 230 2137 SH SOLE 0 0 2137 ISHARES TR U.S. FIN SVC ETF 464287770 95520 515755 SH SOLE 0 0 515755 J P MORGAN EXCHANGE-TRADED F ULTRA SHT MUNCPL 46641Q654 1217 23848 SH SOLE 0 0 23848 JOHNSON & JOHNSON COM 478160104 4519 27431 SH SOLE 0 0 27431 JOHNSON CTLS INTL PLC SHS G51502105 565 8231 SH SOLE 0 0 8231 JPMORGAN CHASE & CO COM 46625H100 6350 40840 SH SOLE 0 0 40840 KEYCORP COM 493267108 2157 104602 SH SOLE 0 0 104602 KIMBERLY-CLARK CORP COM 494368103 7550 56437 SH SOLE 0 0 56437 KOHLS CORP COM 500255104 859 15573 SH SOLE 0 0 15573 KRAFT HEINZ CO COM 500754106 241 5899 SH SOLE 0 0 5899 LAM RESEARCH CORP COM 512807108 804 1236 SH SOLE 0 0 1236 LAS VEGAS SANDS CORP COM 517834107 2162 41060 SH SOLE 0 0 41060 LEGGETT & PLATT INC COM 524660107 232 4486 SH SOLE 0 0 4486 LENNAR CORP CL A 526057104 4289 43206 SH SOLE 0 0 43206 LILLY ELI & CO COM 532457108 504 2198 SH SOLE 0 0 2198 LINDE PLC SHS G5494J103 3206 11089 SH SOLE 0 0 11089 LOWES COS INC COM 548661107 283 1469 SH SOLE 0 0 1469 MARSH & MCLENNAN COS INC COM 571748102 1112 7915 SH SOLE 0 0 7915 MARVELL TECHNOLOGY INC COM 573874104 418 7152 SH SOLE 0 0 7152 MASTERCARD INCORPORATED CL A 57636Q104 248 680 SH SOLE 0 0 680 MCDONALDS CORP COM 580135101 526 2276 SH SOLE 0 0 2276 MERCADOLIBRE INC COM 58733R102 975 621 SH SOLE 0 0 621 MERCK & CO INC COM 58933Y105 4140 53326 SH SOLE 0 0 53326 MICRON TECHNOLOGY INC COM 595112103 1899 22488 SH SOLE 0 0 22488 MICROSOFT CORP COM 594918104 14359 53000 SH SOLE 0 0 53000 MONDELEZ INTL INC CL A 609207105 732 11725 SH SOLE 0 0 11725 NETFLIX INC COM 64110L106 331 628 SH SOLE 0 0 628 NEXTERA ENERGY INC COM 65339F101 3063 41774 SH SOLE 0 0 41774 NIKE INC CL B 654106103 232 1507 SH SOLE 0 0 1507 NIO INC SPON ADS 62914V106 3539 66510 SH SOLE 0 0 66510 NOKIA CORP SPONSORED ADR 654902204 68 12800 SH SOLE 0 0 12800 NORTHROP GRUMMAN CORP COM 666807102 934 2543 SH SOLE 0 0 2543 NOVARTIS AG SPONSORED ADR 66987V109 1532 16889 SH SOLE 0 0 16889 NUVEEN SELECT TAX-FREE INCOM SH BEN INT 67062F100 335 18292 SH SOLE 0 0 18292 NVIDIA CORPORATION COM 67066G104 5379 6723 SH SOLE 0 0 6723 ORACLE CORP COM 68389X105 218 2797 SH SOLE 0 0 2797 OREILLY AUTOMOTIVE INC COM 67103H107 3277 5772 SH SOLE 0 0 5772 ORION ENERGY SYS INC COM 686275108 95 16245 SH SOLE 0 0 16245 PAYPAL HLDGS INC COM 70450Y103 294 1007 SH SOLE 0 0 1007 PEPSICO INC COM 713448108 1013 6839 SH SOLE 0 0 6839 PFIZER INC COM 717081103 307 7856 SH SOLE 0 0 7856 PHILIP MORRIS INTL INC COM 718172109 1362 13750 SH SOLE 0 0 13750 PHILLIPS 66 COM 718546104 1805 21077 SH SOLE 0 0 21077 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 1376 13497 SH SOLE 0 0 13497 PROCTER AND GAMBLE CO COM 742718109 1276 9468 SH SOLE 0 0 9468 PROSHARES TR SHORT S&P 500 NE 74347B425 165 10765 SH SOLE 0 0 10765 QUAD / GRAPHICS INC COM CL A 747301109 76 18431 SH SOLE 0 0 18431 QUALCOMM INC COM 747525103 6206 43388 SH SOLE 0 0 43388 RENAISSANCERE HLDGS LTD COM G7496G103 409 2785 SH SOLE 0 0 2785 RENEWABLE ENERGY GROUP INC COM NEW 75972A301 1287 20655 SH SOLE 0 0 20655 REPLIGEN CORP COM 759916109 201 1006 SH SOLE 0 0 1006 ROCKWELL AUTOMATION INC COM 773903109 234 818 SH SOLE 0 0 818 SALESFORCE COM INC COM 79466L302 5733 23480 SH SOLE 0 0 23480 SANFILIPPO JOHN B & SON INC COM 800422107 1403 15877 SH SOLE 0 0 15877 SCHWAB CHARLES CORP COM 808513105 4959 68166 SH SOLE 0 0 68166 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 923 28146 SH SOLE 0 0 28146 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 1089 27420 SH SOLE 0 0 27420 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 3770 36141 SH SOLE 0 0 36141 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 483 3308 SH SOLE 0 0 3308 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 220 3202 SH SOLE 0 0 3202 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 230 2204 SH SOLE 0 0 2204 SELECT SECTOR SPDR TR ENERGY 81369Y506 386 7167 SH SOLE 0 0 7167 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 242 1353 SH SOLE 0 0 1353 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 12986 103116 SH SOLE 0 0 103116 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 399 2700 SH SOLE 0 0 2700 SIMPSON MFG INC COM 829073105 707 6426 SH SOLE 0 0 6426 SMITH A O CORP COM 831865209 1631 22709 SH SOLE 0 0 22709 SOUTHWEST AIRLS CO COM 844741108 6232 117369 SH SOLE 0 0 117369 SPDR GOLD TR GOLD SHS 78463V107 5536 33434 SH SOLE 0 0 33434 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 2106 57295 SH SOLE 0 0 57295 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 1050 23112 SH SOLE 0 0 23112 SPDR S&P 500 ETF TR TR UNIT 78462F103 2922 6825 SH SOLE 0 0 6825 SPDR SER TR FTSE INT GVT ETF 78464A490 1057 18773 SH SOLE 0 0 18773 SPDR SER TR PORTFOLI S&P1500 78464A805 119355 2253005 SH SOLE 0 0 2253005 SPDR SER TR PORTFOLIO S&P500 78464A854 13984 277807 SH SOLE 0 0 277807 SPDR SER TR PORTFOLIO S&P600 78468R853 67283 1531291 SH SOLE 0 0 1531291 SPDR SER TR S&P 600 SMCP GRW 78464A201 225 2536 SH SOLE 0 0 2536 SPDR SER TR S&P DIVID ETF 78464A763 417 3412 SH SOLE 0 0 3412 SPROUTS FMRS MKT INC COM 85208M102 798 32475 SH SOLE 0 0 32475 STARBUCKS CORP COM 855244109 4521 40482 SH SOLE 0 0 40482 STRYKER CORPORATION COM 863667101 354 1363 SH SOLE 0 0 1363 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 5456 45433 SH SOLE 0 0 45433 TARGET CORP COM 87612E106 4626 19145 SH SOLE 0 0 19145 TESLA INC COM 88160R101 768 1130 SH SOLE 0 0 1130 TEXAS INSTRS INC COM 882508104 1359 7061 SH SOLE 0 0 7061 THERMO FISHER SCIENTIFIC INC COM 883556102 6967 13731 SH SOLE 0 0 13731 UNION PAC CORP COM 907818108 5679 25911 SH SOLE 0 0 25911 UNITED MICROELECTRONICS CORP SPON ADR NEW 910873405 194 20500 SH SOLE 0 0 20500 UNITED PARCEL SERVICE INC CL B 911312106 1018 4893 SH SOLE 0 0 4893 UNITEDHEALTH GROUP INC COM 91324P102 4559 11376 SH SOLE 0 0 11376 US BANCORP DEL COM NEW 902973304 1439 25306 SH SOLE 0 0 25306 VALERO ENERGY CORP COM 91913Y100 5023 64242 SH SOLE 0 0 64242 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 48759 1434904 SH SOLE 0 0 1434904 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 217 825 SH SOLE 0 0 825 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 1211 14740 SH SOLE 0 0 14740 VANGUARD INDEX FDS GROWTH ETF 922908736 561 1953 SH SOLE 0 0 1953 VANGUARD INDEX FDS LARGE CAP ETF 922908637 382 1899 SH SOLE 0 0 1899 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 1499 14718 SH SOLE 0 0 14718 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 479 1218 SH SOLE 0 0 1218 VANGUARD INDEX FDS SMALL CP ETF 922908751 73684 327042 SH SOLE 0 0 327042 VANGUARD INDEX FDS TOTAL STK MKT 922908769 121469 545181 SH SOLE 0 0 545181 VANGUARD INDEX FDS VALUE ETF 922908744 244 1771 SH SOLE 0 0 1771 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 3465 54694 SH SOLE 0 0 54694 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 1874 34646 SH SOLE 0 0 34646 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 1180 20215 SH SOLE 0 0 20215 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 51356 331783 SH SOLE 0 0 331783 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 213 4135 SH SOLE 0 0 4135 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 687 6554 SH SOLE 0 0 6554 VANGUARD WORLD FDS INF TECH ETF 92204A702 114842 287943 SH SOLE 0 0 287943 VANGUARD WORLD FDS UTILITIES ETF 92204A876 1676 12080 SH SOLE 0 0 12080 VERIZON COMMUNICATIONS INC COM 92343V104 2872 51228 SH SOLE 0 0 51228 VIACOMCBS INC CL B 92556H206 2652 58814 SH SOLE 0 0 58814 VISA INC COM CL A 92826C839 9192 39245 SH SOLE 0 0 39245 WALGREENS BOOTS ALLIANCE INC COM 931427108 304 5784 SH SOLE 0 0 5784 WALMART INC COM 931142103 3946 28006 SH SOLE 0 0 28006 WEC ENERGY GROUP INC COM 92939U106 15936 179196 SH SOLE 0 0 179196 WEIBO CORP SPONSORED ADR 948596101 332 6300 SH SOLE 0 0 6300 WELBILT INC COM 949090104 364 15731 SH SOLE 0 0 15731 ZOOM VIDEO COMMUNICATIONS IN CL A 98980L101 5547 14314 SH SOLE 0 0 14314