0001062993-17-004634.txt : 20171102 0001062993-17-004634.hdr.sgml : 20171102 20171102170519 ACCESSION NUMBER: 0001062993-17-004634 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170930 FILED AS OF DATE: 20171102 DATE AS OF CHANGE: 20171102 EFFECTIVENESS DATE: 20171102 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: 171173370 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 09-30-2017 09-30-2017 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 11-01-2017 0 124 488028 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE 3M CO COM 88579Y101 245 1169 SH SOLE 0 0 1169 ABBOTT LABS COM 002824100 886 16603 SH SOLE 0 0 16603 ABBVIE INC COM 00287Y109 3804 42809 SH SOLE 0 0 42809 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 1213 8980 SH SOLE 0 0 8980 ALLIANT ENERGY CORP COM 018802108 595 14321 SH SOLE 0 0 14321 ALTRIA GROUP INC COM 02209S103 251 3965 SH SOLE 0 0 3965 AMAZON COM INC COM 023135106 336 350 SH SOLE 0 0 350 AMGEN INC COM 031162100 1333 7152 SH SOLE 0 0 7152 ANTHEM INC COM 036752103 812 4275 SH SOLE 0 0 4275 APPLE INC COM 037833100 4430 28743 SH SOLE 0 0 28743 ASSOCIATED BANC CORP COM 045487105 546 22499 SH SOLE 0 0 22499 AT&T INC COM 00206R102 1274 32531 SH SOLE 0 0 32531 BANK AMER CORP COM 060505104 1203 47457 SH SOLE 0 0 47457 BAXTER INTL INC COM 071813109 343 5458 SH SOLE 0 0 5458 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 316 1724 SH SOLE 0 0 1724 BOEING CO COM 097023105 516 2031 SH SOLE 0 0 2031 CAPITAL ONE FINL CORP COM 14040H105 1581 18670 SH SOLE 0 0 18670 CHEVRON CORP NEW COM 166764100 795 6765 SH SOLE 0 0 6765 CISCO SYS INC COM 17275R102 988 29368 SH SOLE 0 0 29368 CITIGROUP INC COM NEW 172967424 1183 16258 SH SOLE 0 0 16258 COMCAST CORP NEW CL A 20030N101 255 6624 SH SOLE 0 0 6624 CORNING INC COM 219350105 1183 39526 SH SOLE 0 0 39526 DIREXION SHS ETF TR DLY S&P500 BR 3X 25460E885 854 23500 SH SOLE 0 0 23500 DISNEY WALT CO COM DISNEY 254687106 303 3078 SH SOLE 0 0 3078 EATON CORP PLC SHS G29183103 487 6343 SH SOLE 0 0 6343 ENSYNC INC COM 29359T102 10 20000 SH SOLE 0 0 20000 EXXON MOBIL CORP COM 30231G102 813 9920 SH SOLE 0 0 9920 FIDELITY NATL INFORMATION SV COM 31620M106 1182 12655 SH SOLE 0 0 12655 FISERV INC COM 337738108 1408 10918 SH SOLE 0 0 10918 GENERAL ELECTRIC CO COM 369604103 391 16165 SH SOLE 0 0 16165 GENERAL MTRS CO COM 37045V100 1017 25187 SH SOLE 0 0 25187 GLOBAL PMTS INC COM 37940X102 335 3521 SH SOLE 0 0 3521 HANCOCK JOHN PFD INCOME FD I COM 41021P103 320 17000 SH SOLE 0 0 17000 HANCOCK JOHN PFD INCOME FD SH BEN INT 41013W108 326 14882 SH SOLE 0 0 14882 HOME DEPOT INC COM 437076102 1644 10051 SH SOLE 0 0 10051 HONEYWELL INTL INC COM 438516106 310 2185 SH SOLE 0 0 2185 INGERSOLL-RAND PLC SHS G47791101 1055 11826 SH SOLE 0 0 11826 INTEL CORP COM 458140100 1240 32563 SH SOLE 0 0 32563 INTERNATIONAL BUSINESS MACHS COM 459200101 299 2060 SH SOLE 0 0 2060 INTL PAPER CO COM 460146103 1032 18155 SH SOLE 0 0 18155 ISHARES AGGRES ALLOC ETF 464289859 2059 38432 SH SOLE 0 0 38432 ISHARES CONSER ALLOC ETF 464289883 896 25976 SH SOLE 0 0 25976 ISHARES GRWT ALLOCAT ETF 464289867 2127 47453 SH SOLE 0 0 47453 ISHARES MODERT ALLOC ETF 464289875 1716 45201 SH SOLE 0 0 45201 ISHARES TR CORE HIGH DV ETF 46429B663 495 5763 SH SOLE 0 0 5763 ISHARES TR CORE S&P MCP ETF 464287507 10622 59375 SH SOLE 0 0 59375 ISHARES TR CORE S&P SCP ETF 464287804 29537 397963 SH SOLE 0 0 397963 ISHARES TR CORE S&P500 ETF 464287200 12410 49067 SH SOLE 0 0 49067 ISHARES TR IBOXX INV CP ETF 464287242 240 1978 SH SOLE 0 0 1978 ISHARES TR INTL SEL DIV ETF 464288448 765 22673 SH SOLE 0 0 22673 ISHARES TR MSCI EAFE ETF 464287465 497 7253 SH SOLE 0 0 7253 ISHARES TR RUS 1000 ETF 464287622 338 2413 SH SOLE 0 0 2413 ISHARES TR RUS 1000 GRW ETF 464287614 2642 21125 SH SOLE 0 0 21125 ISHARES TR RUS 1000 VAL ETF 464287598 2062 17399 SH SOLE 0 0 17399 ISHARES TR RUS 2000 GRW ETF 464287648 233 1301 SH SOLE 0 0 1301 ISHARES TR RUS 2000 VAL ETF 464287630 522 4203 SH SOLE 0 0 4203 ISHARES TR RUSSELL 2000 ETF 464287655 274 1852 SH SOLE 0 0 1852 ISHARES TR SELECT DIVID ETF 464287168 279 2977 SH SOLE 0 0 2977 ISHARES TR U.S. TECH ETF 464287721 229 1525 SH SOLE 0 0 1525 ISHARES TR US HLTHCARE ETF 464287762 203 1182 SH SOLE 0 0 1182 JOHNSON & JOHNSON COM 478160104 1213 9333 SH SOLE 0 0 9333 JOHNSON CTLS INTL PLC SHS G51502105 233 5791 SH SOLE 0 0 5791 JPMORGAN CHASE & CO COM 46625H100 1491 15616 SH SOLE 0 0 15616 KIMBERLY CLARK CORP COM 494368103 490 4166 SH SOLE 0 0 4166 LAM RESEARCH CORP COM 512807108 1036 5599 SH SOLE 0 0 5599 LAS VEGAS SANDS CORP COM 517834107 1287 20056 SH SOLE 0 0 20056 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 1055 10649 SH SOLE 0 0 10649 MANITOWOC INC COM 563571108 156 17328 SH SOLE 0 0 17328 MAXWELL TECHNOLOGIES INC COM 577767106 51 10000 SH SOLE 0 0 10000 MCDONALDS CORP COM 580135101 280 1790 SH SOLE 0 0 1790 MGE ENERGY INC COM 55277P104 211 3266 SH SOLE 0 0 3266 MICROSOFT CORP COM 594918104 2138 28697 SH SOLE 0 0 28697 MORGAN STANLEY COM NEW 617446448 952 19773 SH SOLE 0 0 19773 NETAPP INC COM 64110D104 946 21624 SH SOLE 0 0 21624 NEXTERA ENERGY INC COM 65339F101 1318 8993 SH SOLE 0 0 8993 NUVEEN MUN VALUE FD INC COM 670928100 102 10000 SH SOLE 0 0 10000 ORACLE CORP COM 68389X105 1839 38030 SH SOLE 0 0 38030 PENNEY J C INC COM 708160106 44 11500 SH SOLE 0 0 11500 PEPSICO INC COM 713448108 532 4778 SH SOLE 0 0 4778 PFIZER INC COM 717081103 1293 36227 SH SOLE 0 0 36227 PHILIP MORRIS INTL INC COM 718172109 1057 9518 SH SOLE 0 0 9518 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 1941 19064 SH SOLE 0 0 19064 POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 204 4447 SH SOLE 0 0 4447 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 586 4028 SH SOLE 0 0 4028 PROCTER AND GAMBLE CO COM 742718109 230 2528 SH SOLE 0 0 2528 PROSHARES TR SHORT S&P 500 NE 74347B425 209 6500 SH SOLE 0 0 6500 QUALCOMM INC COM 747525103 912 17592 SH SOLE 0 0 17592 RAYTHEON CO COM NEW 755111507 1040 5572 SH SOLE 0 0 5572 REPUBLIC SVCS INC COM 760759100 893 13513 SH SOLE 0 0 13513 ROADRUNNER TRNSN SVCS HLDG I COM 76973Q105 181 18987 SH SOLE 0 0 18987 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 39776 416328 SH SOLE 0 0 416328 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 262 4294 SH SOLE 0 0 4294 SCRIPPS E W CO OHIO CL A NEW 811054402 461 24103 SH SOLE 0 0 24103 SEAGATE TECHNOLOGY PLC SHS G7945M107 1769 53339 SH SOLE 0 0 53339 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 35312 392007 SH SOLE 0 0 392007 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 35798 438005 SH SOLE 0 0 438005 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 34470 1332962 SH SOLE 0 0 1332962 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 296 5004 SH SOLE 0 0 5004 SMITH A O COM 831865209 214 3600 SH SOLE 0 0 3600 SOUTHWEST AIRLS CO COM 844741108 1592 28437 SH SOLE 0 0 28437 SPDR S&P 500 ETF TR TR UNIT 78462F103 1967 7828 SH SOLE 0 0 7828 SPDR SERIES TRUST S&P DIVID ETF 78464A763 313 3427 SH SOLE 0 0 3427 UNITEDHEALTH GROUP INC COM 91324P102 1229 6276 SH SOLE 0 0 6276 US BANCORP DEL COM NEW 902973304 303 5659 SH SOLE 0 0 5659 VALERO ENERGY CORP NEW COM 91913Y100 1312 17051 SH SOLE 0 0 17051 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 3277 41055 SH SOLE 0 0 41055 VANGUARD INDEX FDS GROWTH ETF 922908736 213 1608 SH SOLE 0 0 1608 VANGUARD INDEX FDS SMALL CP ETF 922908751 40822 288860 SH SOLE 0 0 288860 VANGUARD INDEX FDS TOTAL STK MKT 922908769 81975 632913 SH SOLE 0 0 632913 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 9798 185884 SH SOLE 0 0 185884 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 628 6621 SH SOLE 0 0 6621 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 17845 411081 SH SOLE 0 0 411081 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 213 2630 SH SOLE 0 0 2630 VANGUARD WORLD FDS INF TECH ETF 92204A702 39728 261385 SH SOLE 0 0 261385 VISA INC COM CL A 92826C839 941 8944 SH SOLE 0 0 8944 VODAFONE GROUP PLC NEW SPONSORED ADR 92857W308 675 23731 SH SOLE 0 0 23731 WALGREENS BOOTS ALLIANCE INC COM 931427108 410 5316 SH SOLE 0 0 5316 WAL-MART STORES INC COM 931142103 1534 19636 SH SOLE 0 0 19636 WEC ENERGY GROUP INC COM 92939U106 2737 43598 SH SOLE 0 0 43598 WEIBO CORP SPONSORED ADR 948596101 495 5000 SH SOLE 0 0 5000 WELBILT INC COM 949090104 400 17335 SH SOLE 0 0 17335 WELLS FARGO CO NEW COM 949746101 367 6646 SH SOLE 0 0 6646 WELLTOWER INC COM 95040Q104 1277 18164 SH SOLE 0 0 18164 WISDOMTREE TR US DIVID EX FNCL 97717W406 439 5204 SH SOLE 0 0 5204