0001062993-14-000717.txt : 20140212 0001062993-14-000717.hdr.sgml : 20140212 20140212164151 ACCESSION NUMBER: 0001062993-14-000717 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20131231 FILED AS OF DATE: 20140212 DATE AS OF CHANGE: 20140212 EFFECTIVENESS DATE: 20140212 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: 14600863 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 12-31-2013 12-31-2013 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 02-12-2014 0 92 260475 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE ABBOTT LABS COM 002824100 322 8388 SH SOLE 0 0 8388 ABBVIE INC COM 00287Y109 484 9171 SH SOLE 0 0 9171 AEGON N V NY REGISTRY SH 007924103 208 8900 SH SOLE 0 0 8900 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 175 24576 SH SOLE 0 0 24576 ALLIANT ENERGY CORP COM 018802108 346 6709 SH SOLE 0 0 6709 APPLE INC COM 037833100 1269 2261 SH SOLE 0 0 2261 AT&T INC COM 00206R102 342 9719 SH SOLE 0 0 9719 BAXTER INTL INC COM 071813109 381 5473 SH SOLE 0 0 5473 CHEVRON CORP NEW COM 166764100 1275 10211 SH SOLE 0 0 10211 CONOCOPHILLIPS COM 20825C104 236 3345 SH SOLE 0 0 3345 CREDIT SUISSE ASSET MGMT INC COM 224916106 175 49225 SH SOLE 0 0 49225 CREDIT SUISSE HIGH YLD BND F SH BEN INT 22544F103 48 15571 SH SOLE 0 0 15571 EXXON MOBIL CORP COM 30231G102 583 5762 SH SOLE 0 0 5762 FIDELITY NATL INFORMATION SV COM 31620M106 220 4103 SH SOLE 0 0 4103 FISERV INC COM 337738108 505 8556 SH SOLE 0 0 8556 GENERAL ELECTRIC CO COM 369604103 578 20634 SH SOLE 0 0 20634 GOOGLE INC CL A 38259P508 257 229 SH SOLE 0 0 229 HSBC HLDGS PLC ADR A 1/40PF A 404280604 245 9900 SH SOLE 0 0 9900 INTERNATIONAL BUSINESS MACHS COM 459200101 295 1571 SH SOLE 0 0 1571 ISHARES AGGRES ALLOC ETF 464289859 674 15109 SH SOLE 0 0 15109 ISHARES CORE S&P MCP ETF 464287507 5517 41230 SH SOLE 0 0 41230 ISHARES CORE S&P SCP ETF 464287804 9274 84973 SH SOLE 0 0 84973 ISHARES CORE S&P500 ETF 464287200 5167 27831 SH SOLE 0 0 27831 ISHARES CORE TOTUSBD ETF 464287226 210 1970 SH SOLE 0 0 1970 ISHARES GRWT ALLOCAT ETF 464289867 290 7525 SH SOLE 0 0 7525 ISHARES HIGH DIVIDND ETF 46429B663 1353 19257 SH SOLE 0 0 19257 ISHARES IBOXX HI YD ETF 464288513 893 9614 SH SOLE 0 0 9614 ISHARES IBOXX INV CP ETF 464287242 545 4775 SH SOLE 0 0 4775 ISHARES INTL SEL DIV ETF 464288448 243 6405 SH SOLE 0 0 6405 ISHARES MSCI EAFE ETF 464287465 294 4383 SH SOLE 0 0 4383 ISHARES NAT AMT FREE BD 464288414 596 5746 SH SOLE 0 0 5746 ISHARES RUS 1000 ETF 464287622 494 4790 SH SOLE 0 0 4790 ISHARES RUS 1000 GRW ETF 464287614 4414 51359 SH SOLE 0 0 51359 ISHARES RUS 1000 VAL ETF 464287598 3221 34199 SH SOLE 0 0 34199 ISHARES RUS 2000 GRW ETF 464287648 764 5636 SH SOLE 0 0 5636 ISHARES RUS 2000 VAL ETF 464287630 916 9205 SH SOLE 0 0 9205 ISHARES RUS MDCP VAL ETF 464287473 205 3116 SH SOLE 0 0 3116 ISHARES RUSSELL 2000 ETF 464287655 532 4612 SH SOLE 0 0 4612 ISHARES SELECT DIVID ETF 464287168 348 4877 SH SOLE 0 0 4877 ISHARES U.S. ENERGY ETF 464287796 264 5230 SH SOLE 0 0 5230 ISHARES U.S. FINLS ETF 464287788 8975 111965 SH SOLE 0 0 111965 ISHARES U.S. REAL ES ETF 464287739 1080 17121 SH SOLE 0 0 17121 ISHARES U.S. TECH ETF 464287721 225 2544 SH SOLE 0 0 2544 ISHARES US HLTHCARE ETF 464287762 322 2764 SH SOLE 0 0 2764 ISHARES US OIL&GS EX ETF 464288851 262 3180 SH SOLE 0 0 3180 JOHNSON & JOHNSON COM 478160104 219 2394 SH SOLE 0 0 2394 JOHNSON CTLS INC COM 478366107 1315 25628 SH SOLE 0 0 25628 MCDONALDS CORP COM 580135101 521 5372 SH SOLE 0 0 5372 NUVEEN FLTNG RTE INCM OPP FD COM SHS 6706EN100 148 12192 SH SOLE 0 0 12192 ORACLE CORP COM 68389X105 248 6480 SH SOLE 0 0 6480 PENTAIR LTD SHS H6169Q108 235 3023 SH SOLE 0 0 3023 PEPSICO INC COM 713448108 341 4114 SH SOLE 0 0 4114 PFIZER INC COM 717081103 211 6874 SH SOLE 0 0 6874 PIMCO ETF TR ENHAN SHRT MAT 72201R833 495 4881 SH SOLE 0 0 4881 PIMCO ETF TR TOTL RETN ETF 72201R775 12788 122091 SH SOLE 0 0 122091 POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 1143 34463 SH SOLE 0 0 34463 POWERSHARES GLOBAL ETF TRUST AGG PFD PORT 73936T565 228 16944 SH SOLE 0 0 16944 PROSHARES TR PSHS ULT MCAP400 74347R404 551 4341 SH SOLE 0 0 4341 PROSHARES TR PSHS ULT S&P 500 74347R107 531 5173 SH SOLE 0 0 5173 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 19984 280480 SH SOLE 0 0 280480 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 625 13882 SH SOLE 0 0 13882 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 493 13158 SH SOLE 0 0 13158 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 527 7887 SH SOLE 0 0 7887 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 503 11706 SH SOLE 0 0 11706 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 9685 174691 SH SOLE 0 0 174691 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 13113 148152 SH SOLE 0 0 148152 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 341 15582 SH SOLE 0 0 15582 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 359 10041 SH SOLE 0 0 10041 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 892 5393 SH SOLE 0 0 5393 SPDR S&P 500 ETF TR TR UNIT 78462F103 1636 8859 SH SOLE 0 0 8859 SPDR SERIES TRUST S&P DIVID ETF 78464A763 412 5670 SH SOLE 0 0 5670 SPDR SERIES TRUST S&P PHARMAC 78464A722 208 2364 SH SOLE 0 0 2364 SPDR SERIES TRUST S&P REGL BKG 78464A698 1664 40980 SH SOLE 0 0 40980 SWISHER HYGIENE INC COM 870808102 13 26095 SH SOLE 0 0 26095 UNITEDHEALTH GROUP INC COM 91324P102 289 3834 SH SOLE 0 0 3834 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 26737 538826 SH SOLE 0 0 538826 VANGUARD INDEX FDS GROWTH ETF 922908736 234 2512 SH SOLE 0 0 2512 VANGUARD INDEX FDS REIT ETF 922908553 17451 270314 SH SOLE 0 0 270314 VANGUARD INDEX FDS SMALL CP ETF 922908751 702 6389 SH SOLE 0 0 6389 VANGUARD INDEX FDS TOTAL STK MKT 922908769 26818 279583 SH SOLE 0 0 279583 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 6160 121427 SH SOLE 0 0 121427 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 828 20130 SH SOLE 0 0 20130 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 13711 182224 SH SOLE 0 0 182224 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 11220 180033 SH SOLE 0 0 180033 VANGUARD WORLD FDS INF TECH ETF 92204A702 17121 191214 SH SOLE 0 0 191214 VERIZON COMMUNICATIONS INC COM 92343V104 224 4568 SH SOLE 0 0 4568 VISA INC COM CL A 92826C839 228 1025 SH SOLE 0 0 1025 WALGREEN CO COM 931422109 228 3974 SH SOLE 0 0 3974 WELLS FARGO & CO NEW COM 949746101 402 8851 SH SOLE 0 0 8851 WISCONSIN ENERGY CORP COM 976657106 826 19970 SH SOLE 0 0 19970 WISDOMTREE TR DIV EX-FINL FD 97717W406 1193 17340 SH SOLE 0 0 17340 WISDOMTREE TR EMERG MKTS ETF 97717W315 11652 228345 SH SOLE 0 0 228345