0001062993-18-000691.txt : 20180213 0001062993-18-000691.hdr.sgml : 20180213 20180213135826 ACCESSION NUMBER: 0001062993-18-000691 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20171231 FILED AS OF DATE: 20180213 DATE AS OF CHANGE: 20180213 EFFECTIVENESS DATE: 20180213 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: 18601997 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 12-31-2017 12-31-2017 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 02-12-2018 0 122 528982 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE 3M CO COM 88579Y101 275 1169 SH SOLE 0 0 1169 ABBOTT LABS COM 002824100 925 16216 SH SOLE 0 0 16216 ABBVIE INC COM 00287Y109 4186 43287 SH SOLE 0 0 43287 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 1465 9573 SH SOLE 0 0 9573 ALLIANT ENERGY CORP COM 018802108 405 9502 SH SOLE 0 0 9502 ALPHABET INC CAP STK CL A 02079K305 281 267 SH SOLE 0 0 267 ALTRIA GROUP INC COM 02209S103 295 4132 SH SOLE 0 0 4132 AMAZON COM INC COM 023135106 486 416 SH SOLE 0 0 416 AMGEN INC COM 031162100 1313 7550 SH SOLE 0 0 7550 ANTHEM INC COM 036752103 1028 4570 SH SOLE 0 0 4570 APPLE INC COM 037833100 4703 27793 SH SOLE 0 0 27793 ASSOCIATED BANC CORP COM 045487105 571 22499 SH SOLE 0 0 22499 AT&T INC COM 00206R102 1753 45092 SH SOLE 0 0 45092 BANK AMER CORP COM 060505104 1540 52153 SH SOLE 0 0 52153 BARCLAYS BK PLC IPATH S&P500 VIX 06746L422 279 10000 SH SOLE 0 0 10000 BAXTER INTL INC COM 071813109 353 5458 SH SOLE 0 0 5458 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 352 1774 SH SOLE 0 0 1774 BOEING CO COM 097023105 584 1981 SH SOLE 0 0 1981 BRUNSWICK CORP COM 117043109 238 4312 SH SOLE 0 0 4312 CAPITAL ONE FINL CORP COM 14040H105 2013 20211 SH SOLE 0 0 20211 CHEVRON CORP NEW COM 166764100 702 5605 SH SOLE 0 0 5605 CISCO SYS INC COM 17275R102 1229 32083 SH SOLE 0 0 32083 CITIGROUP INC COM NEW 172967424 1337 17965 SH SOLE 0 0 17965 COCA COLA CO COM 191216100 214 4662 SH SOLE 0 0 4662 CORNING INC COM 219350105 1377 43056 SH SOLE 0 0 43056 DISNEY WALT CO COM DISNEY 254687106 311 2896 SH SOLE 0 0 2896 DUKE ENERGY CORP NEW COM NEW 26441C204 211 2508 SH SOLE 0 0 2508 EATON CORP PLC SHS G29183103 501 6343 SH SOLE 0 0 6343 ENSYNC INC COM 29359T102 8 20000 SH SOLE 0 0 20000 EXXON MOBIL CORP COM 30231G102 839 10027 SH SOLE 0 0 10027 FACEBOOK INC CL A 30303M102 285 1617 SH SOLE 0 0 1617 FIDELITY NATL INFORMATION SV COM 31620M106 1019 10828 SH SOLE 0 0 10828 FISERV INC COM 337738108 1253 9554 SH SOLE 0 0 9554 GENERAL ELECTRIC CO COM 369604103 223 12783 SH SOLE 0 0 12783 GENERAL MTRS CO COM 37045V100 1141 27825 SH SOLE 0 0 27825 GLOBAL PMTS INC COM 37940X102 353 3521 SH SOLE 0 0 3521 HANCOCK JOHN PFD INCOME FD I COM 41021P103 236 12600 SH SOLE 0 0 12600 HANCOCK JOHN PFD INCOME FD SH BEN INT 41013W108 255 11882 SH SOLE 0 0 11882 HOME DEPOT INC COM 437076102 1945 10261 SH SOLE 0 0 10261 HONEYWELL INTL INC COM 438516106 340 2218 SH SOLE 0 0 2218 INGERSOLL-RAND PLC SHS G47791101 1161 13020 SH SOLE 0 0 13020 INTEL CORP COM 458140100 1636 35450 SH SOLE 0 0 35450 INTERNATIONAL BUSINESS MACHS COM 459200101 314 2044 SH SOLE 0 0 2044 INTL PAPER CO COM 460146103 1157 19971 SH SOLE 0 0 19971 ISHARES TR AGGRES ALLOC ETF 464289859 2066 38350 SH SOLE 0 0 38350 ISHARES TR CONSER ALLOC ETF 464289883 954 27533 SH SOLE 0 0 27533 ISHARES TR CORE HIGH DV ETF 46429B663 516 5719 SH SOLE 0 0 5719 ISHARES TR CORE S&P MCP ETF 464287507 10790 56855 SH SOLE 0 0 56855 ISHARES TR CORE S&P SCP ETF 464287804 31259 406965 SH SOLE 0 0 406965 ISHARES TR CORE S&P500 ETF 464287200 12512 46539 SH SOLE 0 0 46539 ISHARES TR GRWT ALLOCAT ETF 464289867 2171 48338 SH SOLE 0 0 48338 ISHARES TR INTL SEL DIV ETF 464288448 845 24995 SH SOLE 0 0 24995 ISHARES TR MODERT ALLOC ETF 464289875 1842 48428 SH SOLE 0 0 48428 ISHARES TR RUS 1000 ETF 464287622 359 2413 SH SOLE 0 0 2413 ISHARES TR RUS 1000 GRW ETF 464287614 2697 20028 SH SOLE 0 0 20028 ISHARES TR RUS 1000 VAL ETF 464287598 2125 17087 SH SOLE 0 0 17087 ISHARES TR RUS 2000 GRW ETF 464287648 250 1338 SH SOLE 0 0 1338 ISHARES TR RUS 2000 VAL ETF 464287630 493 3919 SH SOLE 0 0 3919 ISHARES TR RUSSELL 2000 ETF 464287655 282 1852 SH SOLE 0 0 1852 ISHARES TR SELECT DIVID ETF 464287168 260 2642 SH SOLE 0 0 2642 JOHNSON & JOHNSON COM 478160104 1458 10438 SH SOLE 0 0 10438 JPMORGAN CHASE & CO COM 46625H100 1768 16536 SH SOLE 0 0 16536 KIMBERLY CLARK CORP COM 494368103 509 4215 SH SOLE 0 0 4215 LAM RESEARCH CORP COM 512807108 1074 5837 SH SOLE 0 0 5837 LAS VEGAS SANDS CORP COM 517834107 1284 18483 SH SOLE 0 0 18483 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 1315 11922 SH SOLE 0 0 11922 MAXWELL TECHNOLOGIES INC COM 577767106 58 10000 SH SOLE 0 0 10000 MCDONALDS CORP COM 580135101 306 1780 SH SOLE 0 0 1780 MICROSOFT CORP COM 594918104 2511 29354 SH SOLE 0 0 29354 MORGAN STANLEY COM NEW 617446448 1150 21915 SH SOLE 0 0 21915 NETAPP INC COM 64110D104 1284 23207 SH SOLE 0 0 23207 NEXTERA ENERGY INC COM 65339F101 1293 8277 SH SOLE 0 0 8277 NUVEEN MUN VALUE FD INC COM 670928100 101 10000 SH SOLE 0 0 10000 ORACLE CORP COM 68389X105 1914 40475 SH SOLE 0 0 40475 PEPSICO INC COM 713448108 610 5089 SH SOLE 0 0 5089 PFIZER INC COM 717081103 1427 39400 SH SOLE 0 0 39400 PHILIP MORRIS INTL INC COM 718172109 1026 9714 SH SOLE 0 0 9714 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 1971 19409 SH SOLE 0 0 19409 POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 203 4245 SH SOLE 0 0 4245 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 363 2332 SH SOLE 0 0 2332 PROCTER AND GAMBLE CO COM 742718109 303 3300 SH SOLE 0 0 3300 PROSHARES TR SHORT S&P 500 NE 74347B425 296 9800 SH SOLE 0 0 9800 QUALCOMM INC COM 747525103 1211 18911 SH SOLE 0 0 18911 RAYTHEON CO COM NEW 755111507 1049 5586 SH SOLE 0 0 5586 ROADRUNNER TRNSN SVCS HLDG I COM 76973Q105 146 18987 SH SOLE 0 0 18987 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 43455 430124 SH SOLE 0 0 430124 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 265 4100 SH SOLE 0 0 4100 SCRIPPS E W CO OHIO CL A NEW 811054402 377 24103 SH SOLE 0 0 24103 SEAGATE TECHNOLOGY PLC SHS G7945M107 2383 56958 SH SOLE 0 0 56958 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 39715 402424 SH SOLE 0 0 402424 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 37162 449466 SH SOLE 0 0 449466 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 38516 1380008 SH SOLE 0 0 1380008 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 296 4635 SH SOLE 0 0 4635 SMITH A O COM 831865209 226 3688 SH SOLE 0 0 3688 SOUTHWEST AIRLS CO COM 844741108 1969 30086 SH SOLE 0 0 30086 SPDR S&P 500 ETF TR TR UNIT 78462F103 1935 7251 SH SOLE 0 0 7251 SPDR SERIES TRUST S&P DIVID ETF 78464A763 303 3212 SH SOLE 0 0 3212 TEXAS INSTRS INC COM 882508104 869 8316 SH SOLE 0 0 8316 TOTAL S A SPONSORED ADR 89151E109 980 17729 SH SOLE 0 0 17729 TRANSENTERIX INC COM NEW 89366M201 22 11600 SH SOLE 0 0 11600 UNITEDHEALTH GROUP INC COM 91324P102 1460 6622 SH SOLE 0 0 6622 US BANCORP DEL COM NEW 902973304 303 5659 SH SOLE 0 0 5659 VALERO ENERGY CORP NEW COM 91913Y100 1616 17587 SH SOLE 0 0 17587 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 3617 45722 SH SOLE 0 0 45722 VANGUARD INDEX FDS GROWTH ETF 922908736 318 2264 SH SOLE 0 0 2264 VANGUARD INDEX FDS SMALL CP ETF 922908751 44987 304378 SH SOLE 0 0 304378 VANGUARD INDEX FDS TOTAL STK MKT 922908769 88913 647817 SH SOLE 0 0 647817 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 10381 189710 SH SOLE 0 0 189710 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 692 6778 SH SOLE 0 0 6778 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 19622 437408 SH SOLE 0 0 437408 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 230 2690 SH SOLE 0 0 2690 VANGUARD WORLD FDS INF TECH ETF 92204A702 43081 261524 SH SOLE 0 0 261524 VISA INC COM CL A 92826C839 1085 9512 SH SOLE 0 0 9512 VODAFONE GROUP PLC NEW SPONSORED ADR 92857W308 962 30141 SH SOLE 0 0 30141 WALGREENS BOOTS ALLIANCE INC COM 931427108 394 5420 SH SOLE 0 0 5420 WAL-MART STORES INC COM 931142103 2167 21945 SH SOLE 0 0 21945 WEC ENERGY GROUP INC COM 92939U106 2926 44046 SH SOLE 0 0 44046 WEIBO CORP SPONSORED ADR 948596101 290 2800 SH SOLE 0 0 2800 WELBILT INC COM 949090104 408 17335 SH SOLE 0 0 17335 WELLS FARGO CO NEW COM 949746101 336 5532 SH SOLE 0 0 5532 WELLTOWER INC COM 95040Q104 1180 18503 SH SOLE 0 0 18503 WISDOMTREE TR US DIVID EX FNCL 97717W406 398 4505 SH SOLE 0 0 4505