0001062993-15-002579.txt : 20150512 0001062993-15-002579.hdr.sgml : 20150512 20150512112009 ACCESSION NUMBER: 0001062993-15-002579 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150331 FILED AS OF DATE: 20150512 DATE AS OF CHANGE: 20150512 EFFECTIVENESS DATE: 20150512 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: 15853314 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 03-31-2015 03-31-2015 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 05-11-2015 0 117 310762 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE 3M CO COM 88579Y101 375 2274 SH SOLE 0 0 2274 ABBOTT LABS COM 002824100 400 8637 SH SOLE 0 0 8637 ABBVIE INC COM 00287Y109 952 16267 SH SOLE 0 0 16267 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 269 2870 SH SOLE 0 0 2870 AEGON N V NY REGISTRY SH 007924103 226 8900 SH SOLE 0 0 8900 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 145 18761 SH SOLE 0 0 18761 ALLIANT ENERGY CORP COM 018802108 467 7411 SH SOLE 0 0 7411 ALTRIA GROUP INC COM 02209S103 314 6282 SH SOLE 0 0 6282 AMGEN INC COM 031162100 408 2555 SH SOLE 0 0 2555 APPLE INC COM 037833100 2508 20156 SH SOLE 0 0 20156 AT&T INC COM 00206R102 325 9947 SH SOLE 0 0 9947 BAXTER INTL INC COM 071813109 356 5195 SH SOLE 0 0 5195 BLACKROCK INC COM 09247X101 277 757 SH SOLE 0 0 757 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 369 9481 SH SOLE 0 0 9481 BOEING CO COM 097023105 492 3278 SH SOLE 0 0 3278 CAPITAL ONE FINL CORP COM 14040H105 273 3465 SH SOLE 0 0 3465 CARDINAL HEALTH INC COM 14149Y108 426 4722 SH SOLE 0 0 4722 CBS CORP NEW CL B 124857202 262 4323 SH SOLE 0 0 4323 CHEVRON CORP NEW COM 166764100 1004 9566 SH SOLE 0 0 9566 COMCAST CORP NEW CL A 20030N101 348 6170 SH SOLE 0 0 6170 CONOCOPHILLIPS COM 20825C104 291 4669 SH SOLE 0 0 4669 CORNING INC COM 219350105 325 14339 SH SOLE 0 0 14339 CREDIT SUISSE ASSET MGMT INC COM 224916106 165 51250 SH SOLE 0 0 51250 CREDIT SUISSE HIGH YLD BND F SH BEN INT 22544F103 64 22921 SH SOLE 0 0 22921 DELPHI AUTOMOTIVE PLC SHS G27823106 280 3506 SH SOLE 0 0 3506 DISCOVER FINL SVCS COM 254709108 304 5399 SH SOLE 0 0 5399 DISNEY WALT CO COM DISNEY 254687106 270 2573 SH SOLE 0 0 2573 DR PEPPER SNAPPLE GROUP INC COM 26138E109 283 3605 SH SOLE 0 0 3605 ENTERPRISE PRODS PARTNERS L COM 293792107 335 10181 SH SOLE 0 0 10181 EXXON MOBIL CORP COM 30231G102 491 5776 SH SOLE 0 0 5776 FIDELITY NATL INFORMATION SV COM 31620M106 521 7659 SH SOLE 0 0 7659 FISERV INC COM 337738108 633 7971 SH SOLE 0 0 7971 GENERAL ELECTRIC CO COM 369604103 388 15642 SH SOLE 0 0 15642 GOLDCORP INC NEW COM 380956409 264 14573 SH SOLE 0 0 14573 HOME DEPOT INC COM 437076102 509 4478 SH SOLE 0 0 4478 HSBC HLDGS PLC ADR A 1/40PF A 404280604 241 9400 SH SOLE 0 0 9400 HUMANA INC COM 444859102 259 1455 SH SOLE 0 0 1455 INTERNATIONAL BUSINESS MACHS COM 459200101 442 2752 SH SOLE 0 0 2752 INTL PAPER CO COM 460146103 294 5306 SH SOLE 0 0 5306 ISHARES AGGRES ALLOC ETF 464289859 1188 25010 SH SOLE 0 0 25010 ISHARES CONSER ALLOC ETF 464289883 223 6739 SH SOLE 0 0 6739 ISHARES GRWT ALLOCAT ETF 464289867 768 18818 SH SOLE 0 0 18818 ISHARES MODERT ALLOC ETF 464289875 910 25545 SH SOLE 0 0 25545 ISHARES TR CORE HIGH DV ETF 46429B663 796 10614 SH SOLE 0 0 10614 ISHARES TR CORE S&P MCP ETF 464287507 6527 42947 SH SOLE 0 0 42947 ISHARES TR CORE S&P SCP ETF 464287804 16905 143228 SH SOLE 0 0 143228 ISHARES TR CORE S&P500 ETF 464287200 6655 32023 SH SOLE 0 0 32023 ISHARES TR MSCI EAFE ETF 464287465 245 3815 SH SOLE 0 0 3815 ISHARES TR RUS 1000 ETF 464287622 402 3474 SH SOLE 0 0 3474 ISHARES TR RUS 1000 GRW ETF 464287614 3942 39846 SH SOLE 0 0 39846 ISHARES TR RUS 1000 VAL ETF 464287598 2852 27671 SH SOLE 0 0 27671 ISHARES TR RUS 2000 GRW ETF 464287648 577 3807 SH SOLE 0 0 3807 ISHARES TR RUS 2000 VAL ETF 464287630 739 7157 SH SOLE 0 0 7157 ISHARES TR RUS MDCP VAL ETF 464287473 206 2738 SH SOLE 0 0 2738 ISHARES TR RUSSELL 2000 ETF 464287655 458 3685 SH SOLE 0 0 3685 ISHARES TR SELECT DIVID ETF 464287168 259 3321 SH SOLE 0 0 3321 ISHARES TR U.S. FINLS ETF 464287788 17570 197306 SH SOLE 0 0 197306 ISHARES TR U.S. TECH ETF 464287721 220 2098 SH SOLE 0 0 2098 ISHARES TR US HLTHCARE ETF 464287762 307 1987 SH SOLE 0 0 1987 JOHNSON & JOHNSON COM 478160104 255 2537 SH SOLE 0 0 2537 JOHNSON CTLS INC COM 478366107 807 15991 SH SOLE 0 0 15991 JOURNAL COMMUNICATIONS INC CL A 481130102 1260 85029 SH SOLE 0 0 85029 JPMORGAN CHASE & CO COM 46625H100 302 4989 SH SOLE 0 0 4989 KELSO TECHNOLOGIES INC COM NEW 48826D201 66 14500 SH SOLE 0 0 14500 KIMBERLY CLARK CORP COM 494368103 342 3193 SH SOLE 0 0 3193 KINDER MORGAN INC DEL COM 49456B101 304 7237 SH SOLE 0 0 7237 LOCKHEED MARTIN CORP COM 539830109 282 1389 SH SOLE 0 0 1389 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 296 3374 SH SOLE 0 0 3374 MACYS INC COM 55616P104 262 4043 SH SOLE 0 0 4043 MEDTRONIC INC COM 585055106 311 3982 SH SOLE 0 0 3982 MERCK & CO INC NEW COM 58933Y105 392 6819 SH SOLE 0 0 6819 MICROSOFT CORP COM 594918104 435 10692 SH SOLE 0 0 10692 MOODYS CORP COM 615369105 340 3274 SH SOLE 0 0 3274 MSC INDL DIRECT INC CL A 553530106 235 3250 SH SOLE 0 0 3250 NEXTERA ENERGY INC COM 65339F101 364 3503 SH SOLE 0 0 3503 NOVAVAX INC COM 670002104 104 12600 SH SOLE 0 0 12600 NUVEEN FLTNG RTE INCM OPP FD COM SHS 6706EN100 215 18492 SH SOLE 0 0 18492 OCCIDENTAL PETE CORP DEL COM 674599105 267 3653 SH SOLE 0 0 3653 ORACLE CORP COM 68389X105 504 11671 SH SOLE 0 0 11671 PEPSICO INC COM 713448108 471 4923 SH SOLE 0 0 4923 PFIZER INC COM 717081103 550 15815 SH SOLE 0 0 15815 PHILIP MORRIS INTL INC COM 718172109 337 4468 SH SOLE 0 0 4468 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 235 2320 SH SOLE 0 0 2320 POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 610 16072 SH SOLE 0 0 16072 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 219 2077 SH SOLE 0 0 2077 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 27390 337942 SH SOLE 0 0 337942 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 730 14460 SH SOLE 0 0 14460 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 507 11751 SH SOLE 0 0 11751 SEAGATE TECHNOLOGY PLC SHS G7945M107 386 7426 SH SOLE 0 0 7426 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 22063 292812 SH SOLE 0 0 292812 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 25355 349721 SH SOLE 0 0 349721 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 375 15533 SH SOLE 0 0 15533 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 305 7366 SH SOLE 0 0 7366 SOUTHWEST AIRLS CO COM 844741108 345 7788 SH SOLE 0 0 7788 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 356 2005 SH SOLE 0 0 2005 SPDR S&P 500 ETF TR TR UNIT 78462F103 1638 7935 SH SOLE 0 0 7935 SPDR SERIES TRUST S&P DIVID ETF 78464A763 356 4555 SH SOLE 0 0 4555 SPECTRA ENERGY CORP COM 847560109 289 7979 SH SOLE 0 0 7979 STATE STR CORP COM 857477103 275 3735 SH SOLE 0 0 3735 SYMANTEC CORP COM 871503108 230 9861 SH SOLE 0 0 9861 UNITEDHEALTH GROUP INC COM 91324P102 318 2687 SH SOLE 0 0 2687 VALERO ENERGY CORP NEW COM 91913Y100 321 5052 SH SOLE 0 0 5052 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 40074 740877 SH SOLE 0 0 740877 VANGUARD INDEX FDS GROWTH ETF 922908736 206 1970 SH SOLE 0 0 1970 VANGUARD INDEX FDS SMALL CP ETF 922908751 14581 118973 SH SOLE 0 0 118973 VANGUARD INDEX FDS TOTAL STK MKT 922908769 50362 469575 SH SOLE 0 0 469575 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 4862 99782 SH SOLE 0 0 99782 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 1202 29420 SH SOLE 0 0 29420 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 785 9759 SH SOLE 0 0 9759 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 516 7556 SH SOLE 0 0 7556 VANGUARD WORLD FDS INF TECH ETF 92204A702 25537 239736 SH SOLE 0 0 239736 VERIZON COMMUNICATIONS INC COM 92343V104 277 5702 SH SOLE 0 0 5702 VISA INC COM CL A 92826C839 486 7434 SH SOLE 0 0 7434 WALGREENS BOOTS ALLIANCE INC COM 931427108 333 3936 SH SOLE 0 0 3936 WELLS FARGO & CO NEW COM 949746101 376 6911 SH SOLE 0 0 6911 WISCONSIN ENERGY CORP COM 976657106 956 19305 SH SOLE 0 0 19305 WISDOMTREE TR DIV EX-FINL FD 97717W406 901 11872 SH SOLE 0 0 11872