0001062993-14-002974.txt : 20140515 0001062993-14-002974.hdr.sgml : 20140515 20140515095014 ACCESSION NUMBER: 0001062993-14-002974 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140331 FILED AS OF DATE: 20140515 DATE AS OF CHANGE: 20140515 EFFECTIVENESS DATE: 20140515 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: 14844307 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 03-31-2014 03-31-2014 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 05-14-2014 0 87 268968 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE ABBOTT LABS COM 002824100 295 7670 SH SOLE 0 0 7670 ABBVIE INC COM 00287Y109 431 8385 SH SOLE 0 0 8385 AEGON N V NY REGISTRY SH 007924103 229 8900 SH SOLE 0 0 8900 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 180 24576 SH SOLE 0 0 24576 ALLIANT ENERGY CORP COM 018802108 362 6365 SH SOLE 0 0 6365 ALTRIA GROUP INC COM 02209S103 214 5705 SH SOLE 0 0 5705 APPLE INC COM 037833100 1261 2350 SH SOLE 0 0 2350 AT&T INC COM 00206R102 264 7528 SH SOLE 0 0 7528 BAXTER INTL INC COM 071813109 382 5195 SH SOLE 0 0 5195 CHEVRON CORP NEW COM 166764100 1087 9138 SH SOLE 0 0 9138 CONOCOPHILLIPS COM 20825C104 246 3492 SH SOLE 0 0 3492 CREDIT SUISSE ASSET MGMT INC COM 224916106 178 49225 SH SOLE 0 0 49225 CREDIT SUISSE HIGH YLD BND F SH BEN INT 22544F103 50 15571 SH SOLE 0 0 15571 EXXON MOBIL CORP COM 30231G102 541 5536 SH SOLE 0 0 5536 FIDELITY NATL INFORMATION SV COM 31620M106 216 4049 SH SOLE 0 0 4049 FISERV INC COM 337738108 396 6991 SH SOLE 0 0 6991 GENERAL ELECTRIC CO COM 369604103 500 19307 SH SOLE 0 0 19307 GOOGLE INC CL A 38259P508 255 229 SH SOLE 0 0 229 HSBC HLDGS PLC ADR A 1/40PF A 404280604 252 9900 SH SOLE 0 0 9900 INTERNATIONAL BUSINESS MACHS COM 459200101 557 2895 SH SOLE 0 0 2895 ISHARES AGGRES ALLOC ETF 464289859 821 18097 SH SOLE 0 0 18097 ISHARES CORE S&P MCP ETF 464287507 4982 36243 SH SOLE 0 0 36243 ISHARES CORE S&P SCP ETF 464287804 12666 114997 SH SOLE 0 0 114997 ISHARES CORE S&P500 ETF 464287200 5351 28444 SH SOLE 0 0 28444 ISHARES GRWT ALLOCAT ETF 464289867 228 5826 SH SOLE 0 0 5826 ISHARES TR HIGH DIVIDND ETF 46429B663 1327 18574 SH SOLE 0 0 18574 ISHARES IBOXX INV CP ETF 464287242 251 2150 SH SOLE 0 0 2150 ISHARES INTL SEL DIV ETF 464288448 209 5401 SH SOLE 0 0 5401 ISHARES MODERT ALLOC ETF 464289875 676 19417 SH SOLE 0 0 19417 ISHARES MSCI EAFE ETF 464287465 264 3931 SH SOLE 0 0 3931 ISHARES NAT AMT FREE BD 464288414 309 2887 SH SOLE 0 0 2887 ISHARES RUS 1000 ETF 464287622 446 4261 SH SOLE 0 0 4261 ISHARES RUS 1000 GRW ETF 464287614 3926 45365 SH SOLE 0 0 45365 ISHARES RUS 1000 VAL ETF 464287598 3054 31646 SH SOLE 0 0 31646 ISHARES RUS 2000 GRW ETF 464287648 663 4870 SH SOLE 0 0 4870 ISHARES RUS 2000 VAL ETF 464287630 857 8502 SH SOLE 0 0 8502 ISHARES RUS MDCP VAL ETF 464287473 215 3129 SH SOLE 0 0 3129 ISHARES RUSSELL 2000 ETF 464287655 1079 9275 SH SOLE 0 0 9275 ISHARES SELECT DIVID ETF 464287168 354 4825 SH SOLE 0 0 4825 ISHARES U.S. FINLS ETF 464287788 11749 143704 SH SOLE 0 0 143704 ISHARES U.S. REAL ES ETF 464287739 1145 16925 SH SOLE 0 0 16925 ISHARES U.S. TECH ETF 464287721 220 2417 SH SOLE 0 0 2417 ISHARES US HLTHCARE ETF 464287762 298 2422 SH SOLE 0 0 2422 JOHNSON & JOHNSON COM 478160104 227 2309 SH SOLE 0 0 2309 JOHNSON CTLS INC COM 478366107 1259 26605 SH SOLE 0 0 26605 KINDER MORGAN ENERGY PARTNER UT LTD PARTNER 494550106 210 2833 SH SOLE 0 0 2833 MCDONALDS CORP COM 580135101 397 4051 SH SOLE 0 0 4051 NUVEEN FLTNG RTE INCM OPP FD COM SHS 6706EN100 149 12192 SH SOLE 0 0 12192 ORACLE CORP COM 68389X105 228 5580 SH SOLE 0 0 5580 PENTAIR LTD SHS H6169Q108 240 3023 SH SOLE 0 0 3023 PEPSICO INC COM 713448108 352 4211 SH SOLE 0 0 4211 PFIZER INC COM 717081103 265 8240 SH SOLE 0 0 8240 PHILIP MORRIS INTL INC COM 718172109 351 4283 SH SOLE 0 0 4283 PIMCO ETF TR ENHAN SHRT MAT 72201R833 589 5811 SH SOLE 0 0 5811 PIMCO ETF TR TOTL RETN ETF 72201R775 2222 20832 SH SOLE 0 0 20832 POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 626 18383 SH SOLE 0 0 18383 PROSHARES TR PSHS ULT S&P 500 74347R107 443 4208 SH SOLE 0 0 4208 PROSHARES TR PSHS ULTRUSS2000 74347R842 416 4818 SH SOLE 0 0 4818 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 21644 296535 SH SOLE 0 0 296535 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 657 14384 SH SOLE 0 0 14384 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 494 12800 SH SOLE 0 0 12800 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 388 5998 SH SOLE 0 0 5998 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 11263 192570 SH SOLE 0 0 192570 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 253 2840 SH SOLE 0 0 2840 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 352 15739 SH SOLE 0 0 15739 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 14227 271863 SH SOLE 0 0 271863 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 338 9308 SH SOLE 0 0 9308 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 566 3448 SH SOLE 0 0 3448 SPDR S&P 500 ETF TR TR UNIT 78462F103 1649 8819 SH SOLE 0 0 8819 SPDR SERIES TRUST S&P DIVID ETF 78464A763 372 5055 SH SOLE 0 0 5055 SPDR SERIES TRUST S&P REGL BKG 78464A698 1549 37422 SH SOLE 0 0 37422 SWISHER HYGIENE INC COM 870808102 12 26095 SH SOLE 0 0 26095 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 30842 609397 SH SOLE 0 0 609397 VANGUARD INDEX FDS GROWTH ETF 922908736 204 2184 SH SOLE 0 0 2184 VANGUARD INDEX FDS REIT ETF 922908553 21368 302579 SH SOLE 0 0 302579 VANGUARD INDEX FDS SMALL CP ETF 922908751 10133 89709 SH SOLE 0 0 89709 VANGUARD INDEX FDS TOTAL STK MKT 922908769 31031 318368 SH SOLE 0 0 318368 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 3609 71737 SH SOLE 0 0 71737 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 14428 191779 SH SOLE 0 0 191779 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 13883 219949 SH SOLE 0 0 219949 VANGUARD WORLD FDS INF TECH ETF 92204A702 19700 215235 SH SOLE 0 0 215235 VERIZON COMMUNICATIONS INC COM 92343V104 248 5203 SH SOLE 0 0 5203 VISA INC COM CL A 92826C839 221 1026 SH SOLE 0 0 1026 WALGREEN CO COM 931422109 255 3855 SH SOLE 0 0 3855 WELLS FARGO & CO NEW COM 949746101 318 6393 SH SOLE 0 0 6393 WISCONSIN ENERGY CORP COM 976657106 905 19437 SH SOLE 0 0 19437 WISDOMTREE TR DIV EX-FINL FD 97717W406 1099 15647 SH SOLE 0 0 15647