0001062993-17-002510.txt : 20170515 0001062993-17-002510.hdr.sgml : 20170515 20170515120259 ACCESSION NUMBER: 0001062993-17-002510 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170331 FILED AS OF DATE: 20170515 DATE AS OF CHANGE: 20170515 EFFECTIVENESS DATE: 20170515 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: 17842514 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 03-31-2017 03-31-2017 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 05-12-2017 0 119 402470 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE ABBOTT LABS COM 002824100 557 12533 SH SOLE 0 0 12533 ABBVIE INC COM 00287Y109 2224 34126 SH SOLE 0 0 34126 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 835 6966 SH SOLE 0 0 6966 ALLIANT ENERGY CORP COM 018802108 585 14769 SH SOLE 0 0 14769 ALTRIA GROUP INC COM 02209S103 1043 14605 SH SOLE 0 0 14605 AMGEN INC COM 031162100 946 5763 SH SOLE 0 0 5763 ANTHEM INC COM 036752103 569 3443 SH SOLE 0 0 3443 APPLE INC COM 037833100 4049 28187 SH SOLE 0 0 28187 ASSOCIATED BANC CORP COM 045487105 685 28070 SH SOLE 0 0 28070 AT&T INC COM 00206R102 1158 27870 SH SOLE 0 0 27870 BAXTER INTL INC COM 071813109 270 5202 SH SOLE 0 0 5202 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 307 1839 SH SOLE 0 0 1839 BOEING CO COM 097023105 433 2451 SH SOLE 0 0 2451 CAPITAL ONE FINL CORP COM 14040H105 955 11016 SH SOLE 0 0 11016 CARDINAL HEALTH INC COM 14149Y108 809 9922 SH SOLE 0 0 9922 CHEVRON CORP NEW COM 166764100 743 6922 SH SOLE 0 0 6922 CISCO SYS INC COM 17275R102 541 16015 SH SOLE 0 0 16015 COCA COLA CO COM 191216100 203 4782 SH SOLE 0 0 4782 COMCAST CORP NEW CL A 20030N101 996 26509 SH SOLE 0 0 26509 CORNING INC COM 219350105 881 32643 SH SOLE 0 0 32643 CREDIT SUISSE ASSET MGMT INC COM 224916106 40 12185 SH SOLE 0 0 12185 DISCOVER FINL SVCS COM 254709108 866 12659 SH SOLE 0 0 12659 DISNEY WALT CO COM DISNEY 254687106 960 8468 SH SOLE 0 0 8468 EATON CORP PLC SHS G29183103 402 5423 SH SOLE 0 0 5423 ENSYNC INC COM 29359T102 12 20000 SH SOLE 0 0 20000 EXXON MOBIL CORP COM 30231G102 888 10827 SH SOLE 0 0 10827 FIDELITY NATL INFORMATION SV COM 31620M106 940 11804 SH SOLE 0 0 11804 FISERV INC COM 337738108 1145 9926 SH SOLE 0 0 9926 GENERAL ELECTRIC CO COM 369604103 473 15862 SH SOLE 0 0 15862 GENERAL MTRS CO COM 37045V100 702 19842 SH SOLE 0 0 19842 GLOBAL PMTS INC COM 37940X102 284 3521 SH SOLE 0 0 3521 HANCOCK JOHN PFD INCOME FD I COM 41021P103 371 20100 SH SOLE 0 0 20100 HANCOCK JOHN PFD INCOME FD SH BEN INT 41013W108 327 15382 SH SOLE 0 0 15382 HARLEY DAVIDSON INC COM 412822108 243 4012 SH SOLE 0 0 4012 HOME DEPOT INC COM 437076102 1331 9064 SH SOLE 0 0 9064 INGERSOLL-RAND PLC SHS G47791101 777 9557 SH SOLE 0 0 9557 INTEL CORP COM 458140100 990 27433 SH SOLE 0 0 27433 INTERNATIONAL BUSINESS MACHS COM 459200101 388 2230 SH SOLE 0 0 2230 INTL PAPER CO COM 460146103 718 14136 SH SOLE 0 0 14136 ISHARES AGGRES ALLOC ETF 464289859 1755 35141 SH SOLE 0 0 35141 ISHARES CONSER ALLOC ETF 464289883 714 21419 SH SOLE 0 0 21419 ISHARES GRWT ALLOCAT ETF 464289867 1633 38519 SH SOLE 0 0 38519 ISHARES MODERT ALLOC ETF 464289875 1518 41761 SH SOLE 0 0 41761 ISHARES TR CORE HIGH DV ETF 46429B663 556 6632 SH SOLE 0 0 6632 ISHARES TR CORE S&P MCP ETF 464287507 9039 52794 SH SOLE 0 0 52794 ISHARES TR CORE S&P SCP ETF 464287804 25040 362054 SH SOLE 0 0 362054 ISHARES TR CORE S&P500 ETF 464287200 9747 41080 SH SOLE 0 0 41080 ISHARES TR INTL SEL DIV ETF 464288448 255 8120 SH SOLE 0 0 8120 ISHARES TR RUS 1000 ETF 464287622 317 2412 SH SOLE 0 0 2412 ISHARES TR RUS 1000 GRW ETF 464287614 2760 24252 SH SOLE 0 0 24252 ISHARES TR RUS 1000 VAL ETF 464287598 2119 18437 SH SOLE 0 0 18437 ISHARES TR RUS 2000 GRW ETF 464287648 426 2637 SH SOLE 0 0 2637 ISHARES TR RUS 2000 VAL ETF 464287630 618 5227 SH SOLE 0 0 5227 ISHARES TR RUSSELL 2000 ETF 464287655 232 1687 SH SOLE 0 0 1687 ISHARES TR SELECT DIVID ETF 464287168 274 3009 SH SOLE 0 0 3009 ISHARES TR U.S. TECH ETF 464287721 251 1859 SH SOLE 0 0 1859 ISHARES TR US HLTHCARE ETF 464287762 214 1374 SH SOLE 0 0 1374 JOHNSON & JOHNSON COM 478160104 388 3118 SH SOLE 0 0 3118 JOHNSON CTLS INTL PLC SHS G51502105 536 12734 SH SOLE 0 0 12734 JPMORGAN CHASE & CO COM 46625H100 1133 12902 SH SOLE 0 0 12902 KELSO TECHNOLOGIES INC COM NEW 48826D201 13 17000 SH SOLE 0 0 17000 KIMBERLY CLARK CORP COM 494368103 307 2335 SH SOLE 0 0 2335 LAM RESEARCH CORP COM 512807108 854 6651 SH SOLE 0 0 6651 LOCKHEED MARTIN CORP COM 539830109 742 2773 SH SOLE 0 0 2773 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 790 8665 SH SOLE 0 0 8665 MANITOWOC INC COM 563571108 81 14170 SH SOLE 0 0 14170 MAXWELL TECHNOLOGIES INC COM 577767106 58 10000 SH SOLE 0 0 10000 MCDONALDS CORP COM 580135101 247 1904 SH SOLE 0 0 1904 MERCK & CO INC COM 58933Y105 397 6256 SH SOLE 0 0 6256 MGE ENERGY INC COM 55277P104 236 3632 SH SOLE 0 0 3632 MICROSOFT CORP COM 594918104 1724 26184 SH SOLE 0 0 26184 MOODYS CORP COM 615369105 702 6266 SH SOLE 0 0 6266 NETAPP INC COM 64110D104 740 17690 SH SOLE 0 0 17690 NEXTERA ENERGY INC COM 65339F101 934 7278 SH SOLE 0 0 7278 ORACLE CORP COM 68389X105 1628 36484 SH SOLE 0 0 36484 PEPSICO INC COM 713448108 571 5105 SH SOLE 0 0 5105 PFIZER INC COM 717081103 1081 31611 SH SOLE 0 0 31611 PHILIP MORRIS INTL INC COM 718172109 350 3101 SH SOLE 0 0 3101 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 649 6381 SH SOLE 0 0 6381 POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 387 8906 SH SOLE 0 0 8906 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 350 2644 SH SOLE 0 0 2644 PROCTER AND GAMBLE CO COM 742718109 229 2548 SH SOLE 0 0 2548 PRUDENTIAL FINL INC COM 744320102 796 7461 SH SOLE 0 0 7461 QUALCOMM INC COM 747525103 692 12075 SH SOLE 0 0 12075 RAYTHEON CO COM NEW 755111507 724 4747 SH SOLE 0 0 4747 REPUBLIC SVCS INC COM 760759100 666 10611 SH SOLE 0 0 10611 ROADRUNNER TRNSN SVCS HLDG I COM 76973Q105 130 18987 SH SOLE 0 0 18987 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 35727 393385 SH SOLE 0 0 393385 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 301 5272 SH SOLE 0 0 5272 SCRIPPS E W CO OHIO CL A NEW 811054402 756 32268 SH SOLE 0 0 32268 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 32375 368108 SH SOLE 0 0 368108 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 30384 408604 SH SOLE 0 0 408604 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 297 5567 SH SOLE 0 0 5567 SOUTHWEST AIRLS CO COM 844741108 1263 23492 SH SOLE 0 0 23492 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 232 1123 SH SOLE 0 0 1123 SPDR S&P 500 ETF TR TR UNIT 78462F103 1821 7725 SH SOLE 0 0 7725 SPDR SERIES TRUST S&P DIVID ETF 78464A763 362 4103 SH SOLE 0 0 4103 SYSCO CORP COM 871829107 1183 22786 SH SOLE 0 0 22786 TRAVELERS COMPANIES INC COM 89417E109 639 5301 SH SOLE 0 0 5301 UNITEDHEALTH GROUP INC COM 91324P102 868 5289 SH SOLE 0 0 5289 VALERO ENERGY CORP NEW COM 91913Y100 860 12974 SH SOLE 0 0 12974 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 30469 382205 SH SOLE 0 0 382205 VANGUARD INDEX FDS GROWTH ETF 922908736 237 1946 SH SOLE 0 0 1946 VANGUARD INDEX FDS SMALL CP ETF 922908751 22125 166001 SH SOLE 0 0 166001 VANGUARD INDEX FDS TOTAL STK MKT 922908769 72534 597877 SH SOLE 0 0 597877 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 8384 175288 SH SOLE 0 0 175288 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 764 8493 SH SOLE 0 0 8493 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 11867 301961 SH SOLE 0 0 301961 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 379 4887 SH SOLE 0 0 4887 VANGUARD WORLD FDS INF TECH ETF 92204A702 36383 268252 SH SOLE 0 0 268252 VERIZON COMMUNICATIONS INC COM 92343V104 906 18593 SH SOLE 0 0 18593 VISA INC COM CL A 92826C839 764 8593 SH SOLE 0 0 8593 WALGREENS BOOTS ALLIANCE INC COM 931427108 369 4441 SH SOLE 0 0 4441 WEC ENERGY GROUP INC COM 92939U106 2616 43145 SH SOLE 0 0 43145 WELBILT INC COM 949090104 278 14177 SH SOLE 0 0 14177 WELLS FARGO & CO NEW COM 949746101 334 6002 SH SOLE 0 0 6002 WELLTOWER INC COM 95040Q104 242 3416 SH SOLE 0 0 3416 WESTPORT FUEL SYSTEMS INC COM NEW 960908309 10 10513 SH SOLE 0 0 10513 WISDOMTREE TR DIV EX-FINL FD 97717W406 492 5963 SH SOLE 0 0 5963