0001062993-16-009326.txt : 20160502 0001062993-16-009326.hdr.sgml : 20160502 20160502101015 ACCESSION NUMBER: 0001062993-16-009326 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160331 FILED AS OF DATE: 20160502 DATE AS OF CHANGE: 20160502 EFFECTIVENESS DATE: 20160502 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: 161610223 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 03-31-2016 03-31-2016 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 04-29-2016 0 114 352437 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE 3M CO COM 88579Y101 780 4679 SH SOLE 0 0 4679 ABBOTT LABS COM 002824100 479 11462 SH SOLE 0 0 11462 ABBVIE INC COM 00287Y109 1405 24600 SH SOLE 0 0 24600 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 761 6591 SH SOLE 0 0 6591 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 144 18361 SH SOLE 0 0 18361 ALLIANT ENERGY CORP COM 018802108 529 7127 SH SOLE 0 0 7127 ALTRIA GROUP INC COM 02209S103 299 4775 SH SOLE 0 0 4775 AMGEN INC COM 031162100 691 4606 SH SOLE 0 0 4606 APPLE INC COM 037833100 2800 25693 SH SOLE 0 0 25693 AT&T INC COM 00206R102 476 12161 SH SOLE 0 0 12161 BAXALTA INC COM 07177M103 210 5202 SH SOLE 0 0 5202 BAXTER INTL INC COM 071813109 214 5202 SH SOLE 0 0 5202 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 227 1599 SH SOLE 0 0 1599 BLACKROCK INC COM 09247X101 563 1654 SH SOLE 0 0 1654 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 587 20913 SH SOLE 0 0 20913 BOEING CO COM 097023105 850 6696 SH SOLE 0 0 6696 CAPITAL ONE FINL CORP COM 14040H105 621 8962 SH SOLE 0 0 8962 CARDINAL HEALTH INC COM 14149Y108 683 8338 SH SOLE 0 0 8338 CHEVRON CORP NEW COM 166764100 908 9522 SH SOLE 0 0 9522 COCA COLA CO COM 191216100 201 4326 SH SOLE 0 0 4326 COMCAST CORP NEW CL A 20030N101 721 11798 SH SOLE 0 0 11798 CORNING INC COM 219350105 742 35498 SH SOLE 0 0 35498 CREDIT SUISSE ASSET MGMT INC COM 224916106 157 54700 SH SOLE 0 0 54700 CREDIT SUISSE HIGH YLD BND F SH BEN INT 22544F103 63 28046 SH SOLE 0 0 28046 CVS HEALTH CORP COM 126650100 217 2088 SH SOLE 0 0 2088 DELPHI AUTOMOTIVE PLC SHS G27823106 673 8973 SH SOLE 0 0 8973 DISCOVER FINL SVCS COM 254709108 584 11461 SH SOLE 0 0 11461 DISNEY WALT CO COM DISNEY 254687106 843 8484 SH SOLE 0 0 8484 DR PEPPER SNAPPLE GROUP INC COM 26138E109 599 6698 SH SOLE 0 0 6698 EATON CORP PLC SHS G29183103 464 7415 SH SOLE 0 0 7415 ENSYNC INC COM 29359T102 6 20000 SH SOLE 0 0 20000 ENTERPRISE PRODS PARTNERS L COM 293792107 569 23109 SH SOLE 0 0 23109 EXXON MOBIL CORP COM 30231G102 582 6961 SH SOLE 0 0 6961 FIDELITY NATL INFORMATION SV COM 31620M106 291 4604 SH SOLE 0 0 4604 FISERV INC COM 337738108 922 8985 SH SOLE 0 0 8985 FOOT LOCKER INC COM 344849104 723 11202 SH SOLE 0 0 11202 GENERAL ELECTRIC CO COM 369604103 581 18271 SH SOLE 0 0 18271 GILEAD SCIENCES INC COM 375558103 254 2768 SH SOLE 0 0 2768 GLOBAL PMTS INC COM 37940X102 226 3460 SH SOLE 0 0 3460 HOME DEPOT INC COM 437076102 1238 9282 SH SOLE 0 0 9282 HUMANA INC COM 444859102 255 1392 SH SOLE 0 0 1392 INTEL CORP COM 458140100 714 22077 SH SOLE 0 0 22077 INTERNATIONAL BUSINESS MACHS COM 459200101 297 1959 SH SOLE 0 0 1959 INTL PAPER CO COM 460146103 506 12341 SH SOLE 0 0 12341 ISHARES AGGRES ALLOC ETF 464289859 1321 29149 SH SOLE 0 0 29149 ISHARES CONSER ALLOC ETF 464289883 359 11125 SH SOLE 0 0 11125 ISHARES GRWT ALLOCAT ETF 464289867 1140 28908 SH SOLE 0 0 28908 ISHARES MODERT ALLOC ETF 464289875 1115 32043 SH SOLE 0 0 32043 ISHARES TR TIPS BD ETF 464287176 230 2008 SH SOLE 0 0 2008 ISHARES TR CORE HIGH DV ETF 46429B663 628 8047 SH SOLE 0 0 8047 ISHARES TR CORE S&P MCP ETF 464287507 6815 47264 SH SOLE 0 0 47264 ISHARES TR CORE S&P SCP ETF 464287804 18187 161561 SH SOLE 0 0 161561 ISHARES TR CORE S&P500 ETF 464287200 7378 35701 SH SOLE 0 0 35701 ISHARES TR MSCI EAFE ETF 464287465 230 4027 SH SOLE 0 0 4027 ISHARES TR RUS 1000 ETF 464287622 276 2417 SH SOLE 0 0 2417 ISHARES TR RUS 1000 GRW ETF 464287614 2933 29399 SH SOLE 0 0 29399 ISHARES TR RUS 1000 VAL ETF 464287598 2247 22740 SH SOLE 0 0 22740 ISHARES TR RUS 2000 GRW ETF 464287648 441 3325 SH SOLE 0 0 3325 ISHARES TR RUS 2000 VAL ETF 464287630 581 6237 SH SOLE 0 0 6237 ISHARES TR SELECT DIVID ETF 464287168 391 4785 SH SOLE 0 0 4785 ISHARES TR U.S. TECH ETF 464287721 211 1946 SH SOLE 0 0 1946 ISHARES TR US HLTHCARE ETF 464287762 201 1430 SH SOLE 0 0 1430 JOHNSON & JOHNSON COM 478160104 271 2506 SH SOLE 0 0 2506 JOHNSON CTLS INC COM 478366107 859 22047 SH SOLE 0 0 22047 JPMORGAN CHASE & CO COM 46625H100 617 10420 SH SOLE 0 0 10420 KELSO TECHNOLOGIES INC COM NEW 48826D201 13 14500 SH SOLE 0 0 14500 KIMBERLY CLARK CORP COM 494368103 922 6853 SH SOLE 0 0 6853 KROGER CO COM 501044101 730 19093 SH SOLE 0 0 19093 LAZARD LTD SHS A G54050102 459 11840 SH SOLE 0 0 11840 LOCKHEED MARTIN CORP COM 539830109 803 3624 SH SOLE 0 0 3624 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 610 7124 SH SOLE 0 0 7124 MCDONALDS CORP COM 580135101 206 1639 SH SOLE 0 0 1639 MEDTRONIC PLC SHS G5960L103 636 8487 SH SOLE 0 0 8487 MERCK & CO INC NEW COM 58933Y105 637 12038 SH SOLE 0 0 12038 MICROSOFT CORP COM 594918104 1236 22384 SH SOLE 0 0 22384 MOODYS CORP COM 615369105 625 6478 SH SOLE 0 0 6478 NEXTERA ENERGY INC COM 65339F101 870 7348 SH SOLE 0 0 7348 NUVEEN FLTNG RTE INCM OPP FD COM SHS 6706EN100 183 18492 SH SOLE 0 0 18492 ORACLE CORP COM 68389X105 904 22093 SH SOLE 0 0 22093 PEPSICO INC COM 713448108 519 5060 SH SOLE 0 0 5060 PFIZER INC COM 717081103 801 27023 SH SOLE 0 0 27023 PHILIP MORRIS INTL INC COM 718172109 338 3447 SH SOLE 0 0 3447 PIMCO INCOME STRATEGY FUND I COM 72201J104 88 10050 SH SOLE 0 0 10050 POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 527 13062 SH SOLE 0 0 13062 ROADRUNNER TRNSN SVCS HLDG I COM 76973Q105 200 16058 SH SOLE 0 0 16058 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 27971 356182 SH SOLE 0 0 356182 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 678 13765 SH SOLE 0 0 13765 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 452 11132 SH SOLE 0 0 11132 SCRIPPS E W CO OHIO CL A NEW 811054402 686 44011 SH SOLE 0 0 44011 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 26112 330117 SH SOLE 0 0 330117 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 24701 364433 SH SOLE 0 0 364433 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 307 6932 SH SOLE 0 0 6932 SOUTHWEST AIRLS CO COM 844741108 753 16801 SH SOLE 0 0 16801 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 289 1637 SH SOLE 0 0 1637 SPDR S&P 500 ETF TR TR UNIT 78462F103 1589 7731 SH SOLE 0 0 7731 SPDR SERIES TRUST S&P DIVID ETF 78464A763 315 3944 SH SOLE 0 0 3944 STATE STR CORP COM 857477103 469 8007 SH SOLE 0 0 8007 UNITEDHEALTH GROUP INC COM 91324P102 338 2623 SH SOLE 0 0 2623 VALERO ENERGY CORP NEW COM 91913Y100 667 10397 SH SOLE 0 0 10397 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 45645 836916 SH SOLE 0 0 836916 VANGUARD INDEX FDS SMALL CP ETF 922908751 16882 151422 SH SOLE 0 0 151422 VANGUARD INDEX FDS TOTAL STK MKT 922908769 56188 536044 SH SOLE 0 0 536044 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 5736 132935 SH SOLE 0 0 132935 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 25767 319566 SH SOLE 0 0 319566 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 638 7856 SH SOLE 0 0 7856 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 297 3583 SH SOLE 0 0 3583 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 372 5381 SH SOLE 0 0 5381 VANGUARD WORLD FDS INF TECH ETF 92204A702 27477 250860 SH SOLE 0 0 250860 VERIZON COMMUNICATIONS INC COM 92343V104 839 15523 SH SOLE 0 0 15523 VISA INC COM CL A 92826C839 343 4484 SH SOLE 0 0 4484 WALGREENS BOOTS ALLIANCE INC COM 931427108 400 4751 SH SOLE 0 0 4751 WEC ENERGY GROUP INC COM 92939U106 2264 37690 SH SOLE 0 0 37690 WELLS FARGO & CO NEW COM 949746101 309 6397 SH SOLE 0 0 6397 WISDOMTREE TR DIV EX-FINL FD 97717W406 560 7424 SH SOLE 0 0 7424