0001062993-18-003294.txt : 20180813 0001062993-18-003294.hdr.sgml : 20180813 20180813112946 ACCESSION NUMBER: 0001062993-18-003294 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180630 FILED AS OF DATE: 20180813 DATE AS OF CHANGE: 20180813 EFFECTIVENESS DATE: 20180813 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: 181010975 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 06-30-2018 06-30-2018 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 08-10-2018 0 129 586732 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE 3M CO COM 88579Y101 242 1229 SH SOLE 0 0 1229 ABBOTT LABS COM 002824100 914 14979 SH SOLE 0 0 14979 ABBVIE INC COM 00287Y109 4239 45753 SH SOLE 0 0 45753 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 1823 11144 SH SOLE 0 0 11144 ALLIANT ENERGY CORP COM 018802108 376 8877 SH SOLE 0 0 8877 ALPHABET INC CAP STK CL A 02079K305 280 248 SH SOLE 0 0 248 ALTRIA GROUP INC COM 02209S103 253 4461 SH SOLE 0 0 4461 AMAZON COM INC COM 023135106 751 442 SH SOLE 0 0 442 AMGEN INC COM 031162100 1665 9022 SH SOLE 0 0 9022 ANTHEM INC COM 036752103 1296 5447 SH SOLE 0 0 5447 APPLE INC COM 037833100 5378 29054 SH SOLE 0 0 29054 ASSOCIATED BANC CORP COM 045487105 579 21199 SH SOLE 0 0 21199 ASSURANT INC COM 04621X108 404 3899 SH SOLE 0 0 3899 AT&T INC COM 00206R102 2375 73964 SH SOLE 0 0 73964 BANK AMER CORP COM 060505104 1710 60649 SH SOLE 0 0 60649 BAXTER INTL INC COM 071813109 403 5459 SH SOLE 0 0 5459 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 310 1659 SH SOLE 0 0 1659 BHP BILLITON LTD SPONSORED ADR 088606108 1427 28534 SH SOLE 0 0 28534 BOEING CO COM 097023105 658 1960 SH SOLE 0 0 1960 CAPITAL ONE FINL CORP COM 14040H105 2264 24633 SH SOLE 0 0 24633 CHEVRON CORP NEW COM 166764100 684 5410 SH SOLE 0 0 5410 CISCO SYS INC COM 17275R102 1602 37224 SH SOLE 0 0 37224 CITIGROUP INC COM NEW 172967424 1463 21857 SH SOLE 0 0 21857 COCA COLA CO COM 191216100 227 5175 SH SOLE 0 0 5175 COLONY CAP INC NEW CL A COM 19626G108 92 14700 SH SOLE 0 0 14700 CONOCOPHILLIPS COM 20825C104 238 3414 SH SOLE 0 0 3414 CORNING INC COM 219350105 1415 51453 SH SOLE 0 0 51453 DISNEY WALT CO COM DISNEY 254687106 287 2735 SH SOLE 0 0 2735 EATON CORP PLC SHS G29183103 446 5962 SH SOLE 0 0 5962 ENSYNC INC COM 29359T102 7 20000 SH SOLE 0 0 20000 EXXON MOBIL CORP COM 30231G102 785 9485 SH SOLE 0 0 9485 FACEBOOK INC CL A 30303M102 233 1199 SH SOLE 0 0 1199 FIDELITY NATL INFORMATION SV COM 31620M106 1138 10734 SH SOLE 0 0 10734 FISERV INC COM 337738108 1246 16821 SH SOLE 0 0 16821 GENERAL ELECTRIC CO COM 369604103 183 13415 SH SOLE 0 0 13415 GENERAL MTRS CO COM 37045V100 1394 35384 SH SOLE 0 0 35384 GILEAD SCIENCES INC COM 375558103 1415 19973 SH SOLE 0 0 19973 GLOBAL PMTS INC COM 37940X102 393 3521 SH SOLE 0 0 3521 HANCOCK JOHN PFD INCOME FD I COM 41021P103 232 12435 SH SOLE 0 0 12435 HANCOCK JOHN PFD INCOME FD SH BEN INT 41013W108 259 11882 SH SOLE 0 0 11882 HOME DEPOT INC COM 437076102 2235 11458 SH SOLE 0 0 11458 HONEYWELL INTL INC COM 438516106 315 2185 SH SOLE 0 0 2185 INTEL CORP COM 458140100 1998 40201 SH SOLE 0 0 40201 INTERNATIONAL BUSINESS MACHS COM 459200101 1464 10477 SH SOLE 0 0 10477 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 47863 469751 SH SOLE 0 0 469751 INVESCO QQQ TR UNIT SER 1 46090E103 298 1735 SH SOLE 0 0 1735 ISHARES TR AGGRES ALLOC ETF 464289859 2352 44044 SH SOLE 0 0 44044 ISHARES TR CONSER ALLOC ETF 464289883 1119 32913 SH SOLE 0 0 32913 ISHARES TR CORE S&P MCP ETF 464287507 10630 54572 SH SOLE 0 0 54572 ISHARES TR CORE S&P SCP ETF 464287804 31944 382743 SH SOLE 0 0 382743 ISHARES TR CORE S&P500 ETF 464287200 11584 42426 SH SOLE 0 0 42426 ISHARES TR GRWT ALLOCAT ETF 464289867 2399 54088 SH SOLE 0 0 54088 ISHARES TR INTL SEL DIV ETF 464288448 1303 40642 SH SOLE 0 0 40642 ISHARES TR MODERT ALLOC ETF 464289875 2063 54971 SH SOLE 0 0 54971 ISHARES TR RUS 1000 ETF 464287622 243 1600 SH SOLE 0 0 1600 ISHARES TR RUS 1000 GRW ETF 464287614 2630 18291 SH SOLE 0 0 18291 ISHARES TR RUS 1000 VAL ETF 464287598 1880 15488 SH SOLE 0 0 15488 ISHARES TR RUS 2000 VAL ETF 464287630 382 2894 SH SOLE 0 0 2894 ISHARES TR RUSSELL 2000 ETF 464287655 414 2525 SH SOLE 0 0 2525 ISHARES TR SELECT DIVID ETF 464287168 236 2413 SH SOLE 0 0 2413 JOHNSON & JOHNSON COM 478160104 325 2680 SH SOLE 0 0 2680 JPMORGAN CHASE & CO COM 46625H100 1956 18773 SH SOLE 0 0 18773 KIMBERLY CLARK CORP COM 494368103 353 3348 SH SOLE 0 0 3348 LAM RESEARCH CORP COM 512807108 1190 6887 SH SOLE 0 0 6887 LAS VEGAS SANDS CORP COM 517834107 1422 18623 SH SOLE 0 0 18623 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 1537 13992 SH SOLE 0 0 13992 MAXWELL TECHNOLOGIES INC COM 577767106 52 10000 SH SOLE 0 0 10000 MCDONALDS CORP COM 580135101 283 1804 SH SOLE 0 0 1804 MERCK & CO INC COM 58933Y105 231 3811 SH SOLE 0 0 3811 MICROSOFT CORP COM 594918104 3366 34134 SH SOLE 0 0 34134 MORGAN STANLEY COM NEW 617446448 1343 28342 SH SOLE 0 0 28342 NETAPP INC COM 64110D104 1962 24989 SH SOLE 0 0 24989 NUVEEN MUN VALUE FD INC COM 670928100 96 10000 SH SOLE 0 0 10000 ORACLE CORP COM 68389X105 2180 49474 SH SOLE 0 0 49474 PARATEK PHARMACEUTICALS INC COM 699374302 134 13100 SH SOLE 0 0 13100 PEPSICO INC COM 713448108 570 5232 SH SOLE 0 0 5232 PFIZER INC COM 717081103 1615 44514 SH SOLE 0 0 44514 PHILIP MORRIS INTL INC COM 718172109 808 10008 SH SOLE 0 0 10008 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 638 6281 SH SOLE 0 0 6281 PROCTER AND GAMBLE CO COM 742718109 249 3184 SH SOLE 0 0 3184 QUALCOMM INC COM 747525103 1434 25552 SH SOLE 0 0 25552 REGIONS FINL CORP NEW COM 7591EP100 1504 84574 SH SOLE 0 0 84574 ROADRUNNER TRNSN SVCS HLDG I COM 76973Q105 40 18987 SH SOLE 0 0 18987 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 268 4060 SH SOLE 0 0 4060 SCRIPPS E W CO OHIO CL A NEW 811054402 162 12103 SH SOLE 0 0 12103 SEAGATE TECHNOLOGY PLC SHS G7945M107 3092 54760 SH SOLE 0 0 54760 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 45670 417837 SH SOLE 0 0 417837 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 40646 487009 SH SOLE 0 0 487009 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 39702 1493111 SH SOLE 0 0 1493111 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 281 4047 SH SOLE 0 0 4047 SMITH A O COM 831865209 218 3688 SH SOLE 0 0 3688 SOUTHWEST AIRLS CO COM 844741108 2047 40229 SH SOLE 0 0 40229 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 2503 82349 SH SOLE 0 0 82349 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 1364 38593 SH SOLE 0 0 38593 SPDR S&P 500 ETF TR TR UNIT 78462F103 3078 11348 SH SOLE 0 0 11348 SPDR SER TR PORTFOLIO SM ETF 78468R853 15313 474395 SH SOLE 0 0 474395 SPDR SERIES TRUST PORTFOLIO LR ETF 78464A854 3765 118095 SH SOLE 0 0 118095 SPDR SERIES TRUST PORTFOLIO MD ETF 78464A847 2211 63398 SH SOLE 0 0 63398 SPDR SERIES TRUST PORTFOLIO TL STK 78464A805 22482 661423 SH SOLE 0 0 661423 STRYKER CORP COM 863667101 209 1239 SH SOLE 0 0 1239 TARGET CORP COM 87612E106 1398 18370 SH SOLE 0 0 18370 TEXAS INSTRS INC COM 882508104 824 7476 SH SOLE 0 0 7476 TOTAL S A SPONSORED ADR 89151E109 1369 22609 SH SOLE 0 0 22609 TRANSENTERIX INC COM NEW 89366M201 90 20600 SH SOLE 0 0 20600 UNITEDHEALTH GROUP INC COM 91324P102 1853 7554 SH SOLE 0 0 7554 US BANCORP DEL COM NEW 902973304 277 5536 SH SOLE 0 0 5536 VALERO ENERGY CORP NEW COM 91913Y100 2163 19517 SH SOLE 0 0 19517 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 323 4131 SH SOLE 0 0 4131 VANGUARD GROUP DIV APP ETF 921908844 579 5701 SH SOLE 0 0 5701 VANGUARD INDEX FDS GROWTH ETF 922908736 238 1591 SH SOLE 0 0 1591 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 962 11812 SH SOLE 0 0 11812 VANGUARD INDEX FDS SMALL CP ETF 922908751 45199 290351 SH SOLE 0 0 290351 VANGUARD INDEX FDS TOTAL STK MKT 922908769 78028 555636 SH SOLE 0 0 555636 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 8789 169540 SH SOLE 0 0 169540 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 926 15939 SH SOLE 0 0 15939 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 14811 345240 SH SOLE 0 0 345240 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 249 3001 SH SOLE 0 0 3001 VANGUARD WORLD FDS INF TECH ETF 92204A702 46976 258961 SH SOLE 0 0 258961 VANGUARD WORLD FDS UTILITIES ETF 92204A876 890 7677 SH SOLE 0 0 7677 VISA INC COM CL A 92826C839 1405 10605 SH SOLE 0 0 10605 VITAL THERAPIES INC COM 92847R104 192 28000 SH SOLE 0 0 28000 VODAFONE GROUP PLC NEW SPONSORED ADR 92857W308 1109 45631 SH SOLE 0 0 45631 WALGREENS BOOTS ALLIANCE INC COM 931427108 255 4257 SH SOLE 0 0 4257 WALMART INC COM 931142103 2416 28203 SH SOLE 0 0 28203 WEC ENERGY GROUP INC COM 92939U106 3252 50297 SH SOLE 0 0 50297 WEIBO CORP SPONSORED ADR 948596101 559 6300 SH SOLE 0 0 6300 WELBILT INC COM 949090104 387 17335 SH SOLE 0 0 17335 WELLS FARGO CO NEW COM 949746101 237 4278 SH SOLE 0 0 4278 WISDOMTREE TR US DIVID EX FNCL 97717W406 239 2750 SH SOLE 0 0 2750