0001062993-15-004341.txt : 20150812 0001062993-15-004341.hdr.sgml : 20150812 20150812093908 ACCESSION NUMBER: 0001062993-15-004341 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150630 FILED AS OF DATE: 20150812 DATE AS OF CHANGE: 20150812 EFFECTIVENESS DATE: 20150812 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: 151045708 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 06-30-2015 06-30-2015 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 08-11-2015 0 114 312012 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE 3M CO COM 88579Y101 467 3024 SH SOLE 0 0 3024 ABBOTT LABS COM 002824100 414 8430 SH SOLE 0 0 8430 ABBVIE INC COM 00287Y109 1229 18291 SH SOLE 0 0 18291 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 394 4066 SH SOLE 0 0 4066 AEGON N V NY REGISTRY SH 007924103 224 8900 SH SOLE 0 0 8900 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 140 18761 SH SOLE 0 0 18761 ALLIANT ENERGY CORP COM 018802108 428 7411 SH SOLE 0 0 7411 ALTRIA GROUP INC COM 02209S103 335 6842 SH SOLE 0 0 6842 AMGEN INC COM 031162100 522 3402 SH SOLE 0 0 3402 APPLE INC COM 037833100 3065 24435 SH SOLE 0 0 24435 AT&T INC COM 00206R102 420 11832 SH SOLE 0 0 11832 BAXTER INTL INC COM 071813109 364 5202 SH SOLE 0 0 5202 BLACKROCK INC COM 09247X101 369 1065 SH SOLE 0 0 1065 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 518 12663 SH SOLE 0 0 12663 BOEING CO COM 097023105 642 4625 SH SOLE 0 0 4625 CAPITAL ONE FINL CORP COM 14040H105 416 4733 SH SOLE 0 0 4733 CARDINAL HEALTH INC COM 14149Y108 520 6217 SH SOLE 0 0 6217 CBS CORP NEW CL B 124857202 340 6127 SH SOLE 0 0 6127 CHEVRON CORP NEW COM 166764100 948 9827 SH SOLE 0 0 9827 COMCAST CORP NEW CL A 20030N101 486 8084 SH SOLE 0 0 8084 CONOCOPHILLIPS COM 20825C104 269 4376 SH SOLE 0 0 4376 CORNING INC COM 219350105 399 20219 SH SOLE 0 0 20219 CREDIT SUISSE ASSET MGMT INC COM 224916106 164 51250 SH SOLE 0 0 51250 CREDIT SUISSE HIGH YLD BND F SH BEN INT 22544F103 59 22921 SH SOLE 0 0 22921 DELPHI AUTOMOTIVE PLC SHS G27823106 437 5133 SH SOLE 0 0 5133 DISCOVER FINL SVCS COM 254709108 438 7598 SH SOLE 0 0 7598 DISNEY WALT CO COM DISNEY 254687106 313 2745 SH SOLE 0 0 2745 DR PEPPER SNAPPLE GROUP INC COM 26138E109 374 5124 SH SOLE 0 0 5124 EATON CORP PLC SHS G29183103 222 3287 SH SOLE 0 0 3287 ENTERPRISE PRODS PARTNERS L COM 293792107 410 13701 SH SOLE 0 0 13701 EXXON MOBIL CORP COM 30231G102 485 5831 SH SOLE 0 0 5831 FIDELITY NATL INFORMATION SV COM 31620M106 457 7389 SH SOLE 0 0 7389 FISERV INC COM 337738108 677 8179 SH SOLE 0 0 8179 GENERAL ELECTRIC CO COM 369604103 434 16332 SH SOLE 0 0 16332 HOME DEPOT INC COM 437076102 711 6396 SH SOLE 0 0 6396 HSBC HLDGS PLC ADR A 1/40PF A 404280604 207 8200 SH SOLE 0 0 8200 HUMANA INC COM 444859102 222 1161 SH SOLE 0 0 1161 INSMED INC COM PAR $.01 457669307 209 8560 SH SOLE 0 0 8560 INTERNATIONAL BUSINESS MACHS COM 459200101 514 3157 SH SOLE 0 0 3157 INTL PAPER CO COM 460146103 354 7436 SH SOLE 0 0 7436 ISHARES AGGRES ALLOC ETF 464289859 1241 26166 SH SOLE 0 0 26166 ISHARES CONSER ALLOC ETF 464289883 305 9400 SH SOLE 0 0 9400 ISHARES GRWT ALLOCAT ETF 464289867 918 22647 SH SOLE 0 0 22647 ISHARES MODERT ALLOC ETF 464289875 1003 28455 SH SOLE 0 0 28455 ISHARES TR 1-3 YR TR BD ETF 464287457 209 2458 SH SOLE 0 0 2458 ISHARES TR CORE HIGH DV ETF 46429B663 721 9797 SH SOLE 0 0 9797 ISHARES TR CORE S&P MCP ETF 464287507 6791 45281 SH SOLE 0 0 45281 ISHARES TR CORE S&P SCP ETF 464287804 18002 152711 SH SOLE 0 0 152711 ISHARES TR CORE S&P500 ETF 464287200 6851 33062 SH SOLE 0 0 33062 ISHARES TR MSCI EAFE ETF 464287465 242 3815 SH SOLE 0 0 3815 ISHARES TR RUS 1000 ETF 464287622 372 3202 SH SOLE 0 0 3202 ISHARES TR RUS 1000 GRW ETF 464287614 3710 37468 SH SOLE 0 0 37468 ISHARES TR RUS 1000 VAL ETF 464287598 2646 25652 SH SOLE 0 0 25652 ISHARES TR RUS 2000 GRW ETF 464287648 579 3744 SH SOLE 0 0 3744 ISHARES TR RUS 2000 VAL ETF 464287630 649 6366 SH SOLE 0 0 6366 ISHARES TR RUSSELL 2000 ETF 464287655 453 3632 SH SOLE 0 0 3632 ISHARES TR SELECT DIVID ETF 464287168 241 3207 SH SOLE 0 0 3207 ISHARES TR U.S. FINLS ETF 464287788 347 3869 SH SOLE 0 0 3869 ISHARES TR U.S. TECH ETF 464287721 220 2098 SH SOLE 0 0 2098 ISHARES TR US HLTHCARE ETF 464287762 302 1903 SH SOLE 0 0 1903 JOHNSON & JOHNSON COM 478160104 262 2693 SH SOLE 0 0 2693 JOHNSON CTLS INC COM 478366107 935 18887 SH SOLE 0 0 18887 JPMORGAN CHASE & CO COM 46625H100 466 6872 SH SOLE 0 0 6872 KELSO TECHNOLOGIES INC COM NEW 48826D201 43 14500 SH SOLE 0 0 14500 KIMBERLY CLARK CORP COM 494368103 450 4245 SH SOLE 0 0 4245 KINDER MORGAN INC DEL COM 49456B101 282 7346 SH SOLE 0 0 7346 LOCKHEED MARTIN CORP COM 539830109 372 2002 SH SOLE 0 0 2002 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 474 4575 SH SOLE 0 0 4575 MACYS INC COM 55616P104 392 5805 SH SOLE 0 0 5805 MEDTRONIC PLC SHS G5960L103 424 5725 SH SOLE 0 0 5725 MERCK & CO INC NEW COM 58933Y105 514 9024 SH SOLE 0 0 9024 MICROSOFT CORP COM 594918104 797 18045 SH SOLE 0 0 18045 MOODYS CORP COM 615369105 456 4224 SH SOLE 0 0 4224 NEXTERA ENERGY INC COM 65339F101 458 4676 SH SOLE 0 0 4676 NOVAVAX INC COM 670002104 363 32600 SH SOLE 0 0 32600 NUVEEN FLTNG RTE INCM OPP FD COM SHS 6706EN100 200 18492 SH SOLE 0 0 18492 OCCIDENTAL PETE CORP DEL COM 674599105 415 5339 SH SOLE 0 0 5339 ORACLE CORP COM 68389X105 553 13732 SH SOLE 0 0 13732 PEPSICO INC COM 713448108 461 4941 SH SOLE 0 0 4941 PFIZER INC COM 717081103 625 18635 SH SOLE 0 0 18635 PHILIP MORRIS INTL INC COM 718172109 359 4472 SH SOLE 0 0 4472 POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 545 14871 SH SOLE 0 0 14871 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 226 2111 SH SOLE 0 0 2111 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 28540 357639 SH SOLE 0 0 357639 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 731 14548 SH SOLE 0 0 14548 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 502 11777 SH SOLE 0 0 11777 SCRIPPS E W CO OHIO CL A NEW 811054402 1006 44011 SH SOLE 0 0 44011 SEAGATE TECHNOLOGY PLC SHS G7945M107 439 9237 SH SOLE 0 0 9237 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 24198 316395 SH SOLE 0 0 316395 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 27400 368334 SH SOLE 0 0 368334 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 293 7081 SH SOLE 0 0 7081 SOUTHWEST AIRLS CO COM 844741108 396 11982 SH SOLE 0 0 11982 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 386 2194 SH SOLE 0 0 2194 SPDR S&P 500 ETF TR TR UNIT 78462F103 1563 7592 SH SOLE 0 0 7592 SPDR SERIES TRUST S&P DIVID ETF 78464A763 355 4654 SH SOLE 0 0 4654 SPECTRA ENERGY CORP COM 847560109 376 11531 SH SOLE 0 0 11531 STATE STR CORP COM 857477103 390 5065 SH SOLE 0 0 5065 SYMANTEC CORP COM 871503108 345 14833 SH SOLE 0 0 14833 UNITEDHEALTH GROUP INC COM 91324P102 330 2701 SH SOLE 0 0 2701 VALERO ENERGY CORP NEW COM 91913Y100 470 7504 SH SOLE 0 0 7504 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 41521 792843 SH SOLE 0 0 792843 VANGUARD INDEX FDS SMALL CP ETF 922908751 15800 130077 SH SOLE 0 0 130077 VANGUARD INDEX FDS TOTAL STK MKT 922908769 53897 503616 SH SOLE 0 0 503616 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 5258 108294 SH SOLE 0 0 108294 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 1250 30568 SH SOLE 0 0 30568 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 737 9375 SH SOLE 0 0 9375 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 434 6453 SH SOLE 0 0 6453 VANGUARD WORLD FDS INF TECH ETF 92204A702 26762 251929 SH SOLE 0 0 251929 VERIZON COMMUNICATIONS INC COM 92343V104 252 5415 SH SOLE 0 0 5415 VISA INC COM CL A 92826C839 507 7548 SH SOLE 0 0 7548 WALGREENS BOOTS ALLIANCE INC COM 931427108 410 4850 SH SOLE 0 0 4850 WELLS FARGO & CO NEW COM 949746101 284 5044 SH SOLE 0 0 5044 WISCONSIN ENERGY CORP COM 976657106 953 21192 SH SOLE 0 0 21192 WISDOMTREE TR DIV EX-FINL FD 97717W406 757 10292 SH SOLE 0 0 10292