0001062993-16-010981.txt : 20160811 0001062993-16-010981.hdr.sgml : 20160811 20160811154057 ACCESSION NUMBER: 0001062993-16-010981 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160630 FILED AS OF DATE: 20160811 DATE AS OF CHANGE: 20160811 EFFECTIVENESS DATE: 20160811 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: 161824469 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 06-30-2016 06-30-2016 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 08-11-2016 0 115 369100 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE 3M CO COM 88579Y101 825 4712 SH SOLE 0 0 4712 ABBOTT LABS COM 002824100 441 11222 SH SOLE 0 0 11222 ABBVIE INC COM 00287Y109 1503 24278 SH SOLE 0 0 24278 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 741 6541 SH SOLE 0 0 6541 ALLIANT ENERGY CORP COM 018802108 571 14376 SH SOLE 0 0 14376 ALTRIA GROUP INC COM 02209S103 920 13345 SH SOLE 0 0 13345 AMGEN INC COM 031162100 715 4702 SH SOLE 0 0 4702 APPLE INC COM 037833100 2504 26193 SH SOLE 0 0 26193 ASSOCIATED BANC CORP COM 045487105 481 28049 SH SOLE 0 0 28049 AT&T INC COM 00206R102 577 13349 SH SOLE 0 0 13349 BAXTER INTL INC COM 071813109 235 5202 SH SOLE 0 0 5202 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 236 1632 SH SOLE 0 0 1632 BLACKROCK INC COM 09247X101 551 1609 SH SOLE 0 0 1609 CAPITAL ONE FINL CORP COM 14040H105 564 8879 SH SOLE 0 0 8879 CARDINAL HEALTH INC COM 14149Y108 637 8167 SH SOLE 0 0 8167 CHEVRON CORP NEW COM 166764100 969 9247 SH SOLE 0 0 9247 COCA COLA CO COM 191216100 225 4955 SH SOLE 0 0 4955 COMCAST CORP NEW CL A 20030N101 755 11583 SH SOLE 0 0 11583 CORNING INC COM 219350105 648 31656 SH SOLE 0 0 31656 CREDIT SUISSE ASSET MGMT INC COM 224916106 124 42200 SH SOLE 0 0 42200 CREDIT SUISSE HIGH YLD BND F SH BEN INT 22544F103 50 20696 SH SOLE 0 0 20696 CVS HEALTH CORP COM 126650100 209 2184 SH SOLE 0 0 2184 DELPHI AUTOMOTIVE PLC SHS G27823106 556 8885 SH SOLE 0 0 8885 DISCOVER FINL SVCS COM 254709108 647 12066 SH SOLE 0 0 12066 DISNEY WALT CO COM DISNEY 254687106 822 8402 SH SOLE 0 0 8402 DR PEPPER SNAPPLE GROUP INC COM 26138E109 696 7198 SH SOLE 0 0 7198 EATON CORP PLC SHS G29183103 443 7415 SH SOLE 0 0 7415 ENSYNC INC COM 29359T102 7 20000 SH SOLE 0 0 20000 EXXON MOBIL CORP COM 30231G102 717 7646 SH SOLE 0 0 7646 FIDELITY NATL INFORMATION SV COM 31620M106 463 6287 SH SOLE 0 0 6287 FISERV INC COM 337738108 1226 11278 SH SOLE 0 0 11278 GENERAL ELECTRIC CO COM 369604103 460 14616 SH SOLE 0 0 14616 GILEAD SCIENCES INC COM 375558103 363 4353 SH SOLE 0 0 4353 GLOBAL PMTS INC COM 37940X102 247 3460 SH SOLE 0 0 3460 HOME DEPOT INC COM 437076102 1158 9071 SH SOLE 0 0 9071 HUMANA INC COM 444859102 250 1392 SH SOLE 0 0 1392 INTEL CORP COM 458140100 734 22391 SH SOLE 0 0 22391 INTERNATIONAL BUSINESS MACHS COM 459200101 252 1659 SH SOLE 0 0 1659 INTL PAPER CO COM 460146103 546 12877 SH SOLE 0 0 12877 ISHARES AGGRES ALLOC ETF 464289859 1405 30637 SH SOLE 0 0 30637 ISHARES CONSER ALLOC ETF 464289883 465 14163 SH SOLE 0 0 14163 ISHARES GRWT ALLOCAT ETF 464289867 1365 34106 SH SOLE 0 0 34106 ISHARES MODERT ALLOC ETF 464289875 1286 36438 SH SOLE 0 0 36438 ISHARES TR CORE HIGH DV ETF 46429B663 626 7625 SH SOLE 0 0 7625 ISHARES TR CORE S&P MCP ETF 464287507 7245 48496 SH SOLE 0 0 48496 ISHARES TR CORE S&P SCP ETF 464287804 19405 166982 SH SOLE 0 0 166982 ISHARES TR CORE S&P500 ETF 464287200 7720 36672 SH SOLE 0 0 36672 ISHARES TR MSCI EAFE ETF 464287465 207 3715 SH SOLE 0 0 3715 ISHARES TR RUS 1000 ETF 464287622 270 2311 SH SOLE 0 0 2311 ISHARES TR RUS 1000 GRW ETF 464287614 2730 27206 SH SOLE 0 0 27206 ISHARES TR RUS 1000 VAL ETF 464287598 2161 20934 SH SOLE 0 0 20934 ISHARES TR RUS 2000 GRW ETF 464287648 435 3168 SH SOLE 0 0 3168 ISHARES TR RUS 2000 VAL ETF 464287630 572 5880 SH SOLE 0 0 5880 ISHARES TR SELECT DIVID ETF 464287168 407 4771 SH SOLE 0 0 4771 ISHARES TR TIPS BD ETF 464287176 202 1733 SH SOLE 0 0 1733 ISHARES TR U.S. TECH ETF 464287721 205 1946 SH SOLE 0 0 1946 ISHARES TR US HLTHCARE ETF 464287762 204 1374 SH SOLE 0 0 1374 JOHNSON & JOHNSON COM 478160104 330 2718 SH SOLE 0 0 2718 JOHNSON CTLS INC COM 478366107 1046 23625 SH SOLE 0 0 23625 JPMORGAN CHASE & CO COM 46625H100 653 10510 SH SOLE 0 0 10510 KELSO TECHNOLOGIES INC COM NEW 48826D201 15 17000 SH SOLE 0 0 17000 KIMBERLY CLARK CORP COM 494368103 895 6507 SH SOLE 0 0 6507 KROGER CO COM 501044101 715 19432 SH SOLE 0 0 19432 LOCKHEED MARTIN CORP COM 539830109 924 3722 SH SOLE 0 0 3722 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 541 7271 SH SOLE 0 0 7271 MAD CATZ INTERACTIVE INC COM 556162105 4 15000 SH SOLE 0 0 15000 MAXWELL TECHNOLOGIES INC COM 577767106 53 10000 SH SOLE 0 0 10000 MEDTRONIC PLC SHS G5960L103 717 8268 SH SOLE 0 0 8268 MERCK & CO INC COM 58933Y105 696 12081 SH SOLE 0 0 12081 MGE ENERGY INC COM 55277P104 205 3623 SH SOLE 0 0 3623 MICROSOFT CORP COM 594918104 1314 25682 SH SOLE 0 0 25682 MOODYS CORP COM 615369105 592 6321 SH SOLE 0 0 6321 NEXTERA ENERGY INC COM 65339F101 972 7452 SH SOLE 0 0 7452 NUVEEN FLTNG RTE INCM OPP FD COM SHS 6706EN100 157 15300 SH SOLE 0 0 15300 ORACLE CORP COM 68389X105 893 21815 SH SOLE 0 0 21815 PEPSICO INC COM 713448108 547 5161 SH SOLE 0 0 5161 PFIZER INC COM 717081103 945 26830 SH SOLE 0 0 26830 PHILIP MORRIS INTL INC COM 718172109 342 3358 SH SOLE 0 0 3358 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 256 2533 SH SOLE 0 0 2533 PIMCO INCOME STRATEGY FUND I COM 72201J104 97 10512 SH SOLE 0 0 10512 POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 517 12082 SH SOLE 0 0 12082 RAYTHEON CO COM NEW 755111507 665 4890 SH SOLE 0 0 4890 ROADRUNNER TRNSN SVCS HLDG I COM 76973Q105 142 18987 SH SOLE 0 0 18987 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 28914 359849 SH SOLE 0 0 359849 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 701 13932 SH SOLE 0 0 13932 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 466 11102 SH SOLE 0 0 11102 SCRIPPS E W CO OHIO CL A NEW 811054402 697 44011 SH SOLE 0 0 44011 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 26526 339814 SH SOLE 0 0 339814 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 26738 372895 SH SOLE 0 0 372895 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 276 6366 SH SOLE 0 0 6366 SOUTHWEST AIRLS CO COM 844741108 692 17639 SH SOLE 0 0 17639 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 293 1637 SH SOLE 0 0 1637 SPDR S&P 500 ETF TR TR UNIT 78462F103 1575 7517 SH SOLE 0 0 7517 SPDR SERIES TRUST S&P DIVID ETF 78464A763 321 3826 SH SOLE 0 0 3826 STATE STR CORP COM 857477103 438 8128 SH SOLE 0 0 8128 SYSCO CORP COM 871829107 636 12532 SH SOLE 0 0 12532 TRAVELERS COMPANIES INC COM 89417E109 499 4189 SH SOLE 0 0 4189 UNITEDHEALTH GROUP INC COM 91324P102 370 2623 SH SOLE 0 0 2623 VALERO ENERGY CORP NEW COM 91913Y100 544 10660 SH SOLE 0 0 10660 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 27204 335598 SH SOLE 0 0 335598 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 48721 874700 SH SOLE 0 0 874700 VANGUARD INDEX FDS SMALL CP ETF 922908751 17773 153639 SH SOLE 0 0 153639 VANGUARD INDEX FDS TOTAL STK MKT 922908769 58642 547241 SH SOLE 0 0 547241 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 6318 147442 SH SOLE 0 0 147442 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 700 8408 SH SOLE 0 0 8408 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 1293 36574 SH SOLE 0 0 36574 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 348 4863 SH SOLE 0 0 4863 VANGUARD WORLD FDS INF TECH ETF 92204A702 27492 256721 SH SOLE 0 0 256721 VERIZON COMMUNICATIONS INC COM 92343V104 889 15912 SH SOLE 0 0 15912 VISA INC COM CL A 92826C839 941 12682 SH SOLE 0 0 12682 WALGREENS BOOTS ALLIANCE INC COM 931427108 396 4755 SH SOLE 0 0 4755 WEC ENERGY GROUP INC COM 92939U106 2651 40598 SH SOLE 0 0 40598 WELLS FARGO & CO NEW COM 949746101 304 6422 SH SOLE 0 0 6422 WESTPORT FUEL SYSTEMS INC COM NEW 960908309 17 10213 SH SOLE 0 0 10213 WISDOMTREE TR DIV EX-FINL FD 97717W406 514 6661 SH SOLE 0 0 6661