0001062993-17-000822.txt : 20170214 0001062993-17-000822.hdr.sgml : 20170214 20170213181151 ACCESSION NUMBER: 0001062993-17-000822 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170214 DATE AS OF CHANGE: 20170213 EFFECTIVENESS DATE: 20170214 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: 17601296 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 12-31-2016 12-31-2016 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 02-12-2017 0 110 411842 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE ABBOTT LABS COM 002824100 487 12684 SH SOLE 0 0 12684 ABBVIE INC COM 00287Y109 1936 30914 SH SOLE 0 0 30914 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 742 6333 SH SOLE 0 0 6333 ALLIANT ENERGY CORP COM 018802108 574 15154 SH SOLE 0 0 15154 ALTRIA GROUP INC COM 02209S103 1065 15757 SH SOLE 0 0 15757 AMGEN INC COM 031162100 1007 6890 SH SOLE 0 0 6890 APPLE INC COM 037833100 3233 27918 SH SOLE 0 0 27918 ASSOCIATED BANC CORP COM 045487105 685 27749 SH SOLE 0 0 27749 AT&T INC COM 00206R102 1307 30724 SH SOLE 0 0 30724 BAXTER INTL INC COM 071813109 237 5344 SH SOLE 0 0 5344 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 291 1783 SH SOLE 0 0 1783 BOEING CO COM 097023105 237 1523 SH SOLE 0 0 1523 CAPITAL ONE FINL CORP COM 14040H105 1155 13244 SH SOLE 0 0 13244 CARDINAL HEALTH INC COM 14149Y108 685 9520 SH SOLE 0 0 9520 CHEVRON CORP NEW COM 166764100 850 7221 SH SOLE 0 0 7221 COCA COLA CO COM 191216100 206 4961 SH SOLE 0 0 4961 COMCAST CORP NEW CL A 20030N101 825 11948 SH SOLE 0 0 11948 CORNING INC COM 219350105 753 31023 SH SOLE 0 0 31023 CREDIT SUISSE ASSET MGMT INC COM 224916106 39 12185 SH SOLE 0 0 12185 DISCOVER FINL SVCS COM 254709108 868 12046 SH SOLE 0 0 12046 DISNEY WALT CO COM DISNEY 254687106 855 8207 SH SOLE 0 0 8207 EATON CORP PLC SHS G29183103 563 8399 SH SOLE 0 0 8399 ENSYNC INC COM 29359T102 14 20000 SH SOLE 0 0 20000 EXXON MOBIL CORP COM 30231G102 950 10522 SH SOLE 0 0 10522 FIDELITY NATL INFORMATION SV COM 31620M106 754 9968 SH SOLE 0 0 9968 FISERV INC COM 337738108 1199 11278 SH SOLE 0 0 11278 GENERAL ELECTRIC CO COM 369604103 559 17692 SH SOLE 0 0 17692 GILEAD SCIENCES INC COM 375558103 289 4029 SH SOLE 0 0 4029 GLOBAL PMTS INC COM 37940X102 244 3521 SH SOLE 0 0 3521 HANCOCK JOHN PFD INCOME FD I COM 41021P103 389 21950 SH SOLE 0 0 21950 HANCOCK JOHN PFD INCOME FD SH BEN INT 41013W108 333 16382 SH SOLE 0 0 16382 HOME DEPOT INC COM 437076102 1139 8493 SH SOLE 0 0 8493 INTEL CORP COM 458140100 884 24386 SH SOLE 0 0 24386 INTERNATIONAL BUSINESS MACHS COM 459200101 304 1834 SH SOLE 0 0 1834 INTL PAPER CO COM 460146103 617 11621 SH SOLE 0 0 11621 ISHARES AGGRES ALLOC ETF 464289859 1554 32907 SH SOLE 0 0 32907 ISHARES CONSER ALLOC ETF 464289883 679 20880 SH SOLE 0 0 20880 ISHARES GRWT ALLOCAT ETF 464289867 1519 37425 SH SOLE 0 0 37425 ISHARES MODERT ALLOC ETF 464289875 1336 37934 SH SOLE 0 0 37934 ISHARES TR CORE HIGH DV ETF 46429B663 546 6637 SH SOLE 0 0 6637 ISHARES TR CORE S&P MCP ETF 464287507 8400 50805 SH SOLE 0 0 50805 ISHARES TR CORE S&P SCP ETF 464287804 23949 174147 SH SOLE 0 0 174147 ISHARES TR CORE S&P500 ETF 464287200 8828 39235 SH SOLE 0 0 39235 ISHARES TR INTL SEL DIV ETF 464288448 221 7493 SH SOLE 0 0 7493 ISHARES TR RUS 1000 ETF 464287622 353 2838 SH SOLE 0 0 2838 ISHARES TR RUS 1000 GRW ETF 464287614 2689 25634 SH SOLE 0 0 25634 ISHARES TR RUS 1000 VAL ETF 464287598 2229 19897 SH SOLE 0 0 19897 ISHARES TR RUS 2000 GRW ETF 464287648 412 2674 SH SOLE 0 0 2674 ISHARES TR RUS 2000 VAL ETF 464287630 632 5316 SH SOLE 0 0 5316 ISHARES TR RUSSELL 2000 ETF 464287655 236 1750 SH SOLE 0 0 1750 ISHARES TR SELECT DIVID ETF 464287168 320 3617 SH SOLE 0 0 3617 ISHARES TR U.S. TECH ETF 464287721 224 1859 SH SOLE 0 0 1859 JOHNSON & JOHNSON COM 478160104 347 3013 SH SOLE 0 0 3013 JOHNSON CTLS INTL PLC SHS G51502105 827 20072 SH SOLE 0 0 20072 JPMORGAN CHASE & CO COM 46625H100 984 11405 SH SOLE 0 0 11405 KELSO TECHNOLOGIES INC COM NEW 48826D201 16 17000 SH SOLE 0 0 17000 KIMBERLY CLARK CORP COM 494368103 742 6505 SH SOLE 0 0 6505 KROGER CO COM 501044101 668 19343 SH SOLE 0 0 19343 LAM RESEARCH CORP COM 512807108 653 6180 SH SOLE 0 0 6180 LOCKHEED MARTIN CORP COM 539830109 648 2593 SH SOLE 0 0 2593 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 613 7149 SH SOLE 0 0 7149 MAD CATZ INTERACTIVE INC COM 556162105 2 15000 SH SOLE 0 0 15000 MAXWELL TECHNOLOGIES INC COM 577767106 51 10000 SH SOLE 0 0 10000 MEDTRONIC PLC SHS G5960L103 665 9340 SH SOLE 0 0 9340 MERCK & CO INC COM 58933Y105 879 14937 SH SOLE 0 0 14937 MGE ENERGY INC COM 55277P104 237 3629 SH SOLE 0 0 3629 MICROSOFT CORP COM 594918104 1584 25485 SH SOLE 0 0 25485 MOODYS CORP COM 615369105 555 5884 SH SOLE 0 0 5884 NETAPP INC COM 64110D104 497 14081 SH SOLE 0 0 14081 NEXTERA ENERGY INC COM 65339F101 819 6855 SH SOLE 0 0 6855 NUVEEN AMT FREE MUN CR INC F COM 67071L106 153 10567 SH SOLE 0 0 10567 ORACLE CORP COM 68389X105 1309 34051 SH SOLE 0 0 34051 PEPSICO INC COM 713448108 551 5269 SH SOLE 0 0 5269 PFIZER INC COM 717081103 967 29767 SH SOLE 0 0 29767 PHILIP MORRIS INTL INC COM 718172109 338 3695 SH SOLE 0 0 3695 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 537 5301 SH SOLE 0 0 5301 POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 386 9289 SH SOLE 0 0 9289 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 317 2677 SH SOLE 0 0 2677 RAYTHEON CO COM NEW 755111507 587 4133 SH SOLE 0 0 4133 ROADRUNNER TRNSN SVCS HLDG I COM 76973Q105 197 18987 SH SOLE 0 0 18987 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 32611 376397 SH SOLE 0 0 376397 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 296 5471 SH SOLE 0 0 5471 SCRIPPS E W CO OHIO CL A NEW 811054402 624 32268 SH SOLE 0 0 32268 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 28734 353003 SH SOLE 0 0 353003 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 26762 388195 SH SOLE 0 0 388195 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 366 7567 SH SOLE 0 0 7567 SOUTHWEST AIRLS CO COM 844741108 1067 21402 SH SOLE 0 0 21402 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 242 1224 SH SOLE 0 0 1224 SPDR S&P 500 ETF TR TR UNIT 78462F103 1829 8182 SH SOLE 0 0 8182 SPDR SERIES TRUST S&P DIVID ETF 78464A763 353 4126 SH SOLE 0 0 4126 SYSCO CORP COM 871829107 1081 19517 SH SOLE 0 0 19517 TRAVELERS COMPANIES INC COM 89417E109 571 4661 SH SOLE 0 0 4661 UNITEDHEALTH GROUP INC COM 91324P102 435 2716 SH SOLE 0 0 2716 VALERO ENERGY CORP NEW COM 91913Y100 709 10377 SH SOLE 0 0 10377 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 27937 351629 SH SOLE 0 0 351629 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 50576 931584 SH SOLE 0 0 931584 VANGUARD INDEX FDS GROWTH ETF 922908736 208 1865 SH SOLE 0 0 1865 VANGUARD INDEX FDS SMALL CP ETF 922908751 20214 156744 SH SOLE 0 0 156744 VANGUARD INDEX FDS TOTAL STK MKT 922908769 65586 568733 SH SOLE 0 0 568733 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 7327 165847 SH SOLE 0 0 165847 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 708 8309 SH SOLE 0 0 8309 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 9193 251588 SH SOLE 0 0 251588 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 338 4467 SH SOLE 0 0 4467 VANGUARD WORLD FDS INF TECH ETF 92204A702 31866 262268 SH SOLE 0 0 262268 VERIZON COMMUNICATIONS INC COM 92343V104 1000 18739 SH SOLE 0 0 18739 VISA INC COM CL A 92826C839 979 12553 SH SOLE 0 0 12553 WALGREENS BOOTS ALLIANCE INC COM 931427108 381 4602 SH SOLE 0 0 4602 WEC ENERGY GROUP INC COM 92939U106 2524 43043 SH SOLE 0 0 43043 WELLS FARGO & CO NEW COM 949746101 313 5677 SH SOLE 0 0 5677 WISDOMTREE TR DIV EX-FINL FD 97717W406 481 5985 SH SOLE 0 0 5985