0001062993-18-004547.txt : 20181113 0001062993-18-004547.hdr.sgml : 20181113 20181113110559 ACCESSION NUMBER: 0001062993-18-004547 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180930 FILED AS OF DATE: 20181113 DATE AS OF CHANGE: 20181113 EFFECTIVENESS DATE: 20181113 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: 181176228 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 09-30-2018 09-30-2018 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 11-12-2018 0 134 647085 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE 3M CO COM 88579Y101 246 1169 SH SOLE 0 0 1169 ABBOTT LABS COM 002824100 1096 14939 SH SOLE 0 0 14939 ABBVIE INC COM 00287Y109 4537 47966 SH SOLE 0 0 47966 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 278 1633 SH SOLE 0 0 1633 ALLIANT ENERGY CORP COM 018802108 411 9663 SH SOLE 0 0 9663 ALTRIA GROUP INC COM 02209S103 935 15500 SH SOLE 0 0 15500 AMAZON COM INC COM 023135106 1078 538 SH SOLE 0 0 538 AMGEN INC COM 031162100 1965 9479 SH SOLE 0 0 9479 ANNALY CAP MGMT INC COM 035710409 380 37165 SH SOLE 0 0 37165 ANTHEM INC COM 036752103 1629 5943 SH SOLE 0 0 5943 APPLE INC COM 037833100 6513 28853 SH SOLE 0 0 28853 ASSOCIATED BANC CORP COM 045487105 745 28644 SH SOLE 0 0 28644 ASSURANT INC COM 04621X108 392 3633 SH SOLE 0 0 3633 AT&T INC COM 00206R102 2949 87832 SH SOLE 0 0 87832 BANK AMER CORP COM 060505104 1941 65887 SH SOLE 0 0 65887 BARCLAYS BK PLC IPATH S&P500 VIX 06746L422 267 10000 SH SOLE 0 0 10000 BAXTER INTL INC COM 071813109 421 5460 SH SOLE 0 0 5460 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 355 1659 SH SOLE 0 0 1659 BHP BILLITON LTD SPONSORED ADR 088606108 1594 31974 SH SOLE 0 0 31974 BOEING CO COM 097023105 708 1904 SH SOLE 0 0 1904 BRP INC COM SUN VTG 05577W200 272 5800 SH SOLE 0 0 5800 CAPITAL ONE FINL CORP COM 14040H105 2559 26957 SH SOLE 0 0 26957 CHEVRON CORP NEW COM 166764100 642 5253 SH SOLE 0 0 5253 CISCO SYS INC COM 17275R102 1904 39134 SH SOLE 0 0 39134 CITIGROUP INC COM NEW 172967424 1741 24274 SH SOLE 0 0 24274 COCA COLA CO COM 191216100 230 4983 SH SOLE 0 0 4983 COLONY CAP INC NEW CL A COM 19626G108 90 14700 SH SOLE 0 0 14700 COLONY CR REAL ESTATE INC COM CL A 19625T101 342 15556 SH SOLE 0 0 15556 CONOCOPHILLIPS COM 20825C104 2337 30189 SH SOLE 0 0 30189 CORNING INC COM 219350105 1970 55809 SH SOLE 0 0 55809 DIREXION SHS ETF TR DLY S&P500 BR 3X 25460E885 214 10000 SH SOLE 0 0 10000 DISNEY WALT CO COM DISNEY 254687106 330 2822 SH SOLE 0 0 2822 EATON CORP PLC SHS G29183103 517 5962 SH SOLE 0 0 5962 ENSYNC INC COM 29359T102 5 20000 SH SOLE 0 0 20000 EXACT SCIENCES CORP COM 30063P105 237 3000 SH SOLE 0 0 3000 EXXON MOBIL CORP COM 30231G102 738 8683 SH SOLE 0 0 8683 FACEBOOK INC CL A 30303M102 215 1307 SH SOLE 0 0 1307 FIDELITY NATL INFORMATION SV COM 31620M106 1151 10549 SH SOLE 0 0 10549 FISERV INC COM 337738108 1386 16821 SH SOLE 0 0 16821 GENERAL MTRS CO COM 37045V100 1332 39549 SH SOLE 0 0 39549 GILEAD SCIENCES INC COM 375558103 1705 22080 SH SOLE 0 0 22080 GLOBAL PMTS INC COM 37940X102 449 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 261 11882 SH SOLE 0 0 11882 HOME DEPOT INC COM 437076102 2540 12261 SH SOLE 0 0 12261 HONEYWELL INTL INC COM 438516106 364 2185 SH SOLE 0 0 2185 INTEL CORP COM 458140100 2102 44452 SH SOLE 0 0 44452 INTERNATIONAL BUSINESS MACHS COM 459200101 226 1497 SH SOLE 0 0 1497 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 51222 479559 SH SOLE 0 0 479559 ISHARES TR AGGRES ALLOC ETF 464289859 2140 39170 SH SOLE 0 0 39170 ISHARES TR CONSER ALLOC ETF 464289883 1073 31389 SH SOLE 0 0 31389 ISHARES TR CORE LT USDB ETF 464289479 414 6945 SH SOLE 0 0 6945 ISHARES TR CORE S&P MCP ETF 464287507 10783 53569 SH SOLE 0 0 53569 ISHARES TR CORE S&P SCP ETF 464287804 32801 375987 SH SOLE 0 0 375987 ISHARES TR CORE S&P500 ETF 464287200 12160 41541 SH SOLE 0 0 41541 ISHARES TR GRWT ALLOCAT ETF 464289867 2269 50276 SH SOLE 0 0 50276 ISHARES TR IBOXX INV CP ETF 464287242 570 4960 SH SOLE 0 0 4960 ISHARES TR INTL SEL DIV ETF 464288448 1361 41717 SH SOLE 0 0 41717 ISHARES TR MODERT ALLOC ETF 464289875 2052 54152 SH SOLE 0 0 54152 ISHARES TR RUS 1000 ETF 464287622 234 1449 SH SOLE 0 0 1449 ISHARES TR RUS 1000 GRW ETF 464287614 2797 17929 SH SOLE 0 0 17929 ISHARES TR RUS 1000 VAL ETF 464287598 1910 15084 SH SOLE 0 0 15084 ISHARES TR RUS 2000 VAL ETF 464287630 365 2747 SH SOLE 0 0 2747 ISHARES TR RUSSELL 2000 ETF 464287655 381 2259 SH SOLE 0 0 2259 ISHARES TR SELECT DIVID ETF 464287168 225 2252 SH SOLE 0 0 2252 JOHNSON & JOHNSON COM 478160104 400 2898 SH SOLE 0 0 2898 JPMORGAN CHASE & CO COM 46625H100 2293 20318 SH SOLE 0 0 20318 KIMBERLY CLARK CORP COM 494368103 398 3499 SH SOLE 0 0 3499 LAM RESEARCH CORP COM 512807108 1164 7676 SH SOLE 0 0 7676 LAS VEGAS SANDS CORP COM 517834107 1270 21406 SH SOLE 0 0 21406 LOWES COS INC COM 548661107 207 1804 SH SOLE 0 0 1804 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 1578 15389 SH SOLE 0 0 15389 MAXWELL TECHNOLOGIES INC COM 577767106 35 10000 SH SOLE 0 0 10000 MCDONALDS CORP COM 580135101 325 1940 SH SOLE 0 0 1940 MERCK & CO INC COM 58933Y105 214 3012 SH SOLE 0 0 3012 MICROSOFT CORP COM 594918104 3983 34822 SH SOLE 0 0 34822 MORGAN STANLEY COM NEW 617446448 1495 32095 SH SOLE 0 0 32095 NETAPP INC COM 64110D104 2271 26444 SH SOLE 0 0 26444 NUVEEN MUN VALUE FD INC COM 670928100 94 10000 SH SOLE 0 0 10000 ORACLE CORP COM 68389X105 2755 53438 SH SOLE 0 0 53438 PARATEK PHARMACEUTICALS INC COM 699374302 127 13100 SH SOLE 0 0 13100 PEPSICO INC COM 713448108 613 5480 SH SOLE 0 0 5480 PFIZER INC COM 717081103 2113 47943 SH SOLE 0 0 47943 PHILIP MORRIS INTL INC COM 718172109 1482 18178 SH SOLE 0 0 18178 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 686 6753 SH SOLE 0 0 6753 PROCTER AND GAMBLE CO COM 742718109 267 3208 SH SOLE 0 0 3208 PROSHARES TR SHORT S&P 500 NE 74347B425 579 21200 SH SOLE 0 0 21200 QUALCOMM INC COM 747525103 1991 27638 SH SOLE 0 0 27638 REGIONS FINL CORP NEW COM 7591EP100 1656 90219 SH SOLE 0 0 90219 ROADRUNNER TRNSN SVCS HLDG I COM 76973Q105 15 18366 SH SOLE 0 0 18366 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 290 4118 SH SOLE 0 0 4118 SCRIPPS E W CO OHIO CL A NEW 811054402 200 12103 SH SOLE 0 0 12103 SEAGATE TECHNOLOGY PLC SHS G7945M107 2801 59153 SH SOLE 0 0 59153 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 49747 424387 SH SOLE 0 0 424387 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 47562 499864 SH SOLE 0 0 499864 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 42307 1533982 SH SOLE 0 0 1533982 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 228 3031 SH SOLE 0 0 3031 SOUTHWEST AIRLS CO COM 844741108 2779 44498 SH SOLE 0 0 44498 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 8333 270802 SH SOLE 0 0 270802 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 2853 81906 SH SOLE 0 0 81906 SPDR S&P 500 ETF TR TR UNIT 78462F103 3207 11030 SH SOLE 0 0 11030 SPDR SER TR PORTFOLIO SM ETF 78468R853 19685 592215 SH SOLE 0 0 592215 SPDR SERIES TRUST PORTFOLIO LR ETF 78464A854 5652 165885 SH SOLE 0 0 165885 SPDR SERIES TRUST PORTFOLIO MD ETF 78464A847 3053 84457 SH SOLE 0 0 84457 SPDR SERIES TRUST PORTFOLIO TL STK 78464A805 28785 795179 SH SOLE 0 0 795179 STRYKER CORP COM 863667101 220 1239 SH SOLE 0 0 1239 TARGET CORP COM 87612E106 1782 20206 SH SOLE 0 0 20206 TEXAS INSTRS INC COM 882508104 806 7516 SH SOLE 0 0 7516 TOTAL S A SPONSORED ADR 89151E109 1617 25116 SH SOLE 0 0 25116 TRANSENTERIX INC COM NEW 89366M201 177 30600 SH SOLE 0 0 30600 UNITEDHEALTH GROUP INC COM 91324P102 2136 8027 SH SOLE 0 0 8027 US BANCORP DEL COM NEW 902973304 298 5643 SH SOLE 0 0 5643 VALERO ENERGY CORP NEW COM 91913Y100 2304 20259 SH SOLE 0 0 20259 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 296 3792 SH SOLE 0 0 3792 VANGUARD GROUP DIV APP ETF 921908844 631 5699 SH SOLE 0 0 5699 VANGUARD INDEX FDS GROWTH ETF 922908736 224 1389 SH SOLE 0 0 1389 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 950 11778 SH SOLE 0 0 11778 VANGUARD INDEX FDS SMALL CP ETF 922908751 46775 287701 SH SOLE 0 0 287701 VANGUARD INDEX FDS TOTAL STK MKT 922908769 81667 545721 SH SOLE 0 0 545721 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 5031 96665 SH SOLE 0 0 96665 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 917 16321 SH SOLE 0 0 16321 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 13299 307344 SH SOLE 0 0 307344 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 261 3001 SH SOLE 0 0 3001 VANGUARD WORLD FDS INF TECH ETF 92204A702 53270 262982 SH SOLE 0 0 262982 VANGUARD WORLD FDS UTILITIES ETF 92204A876 894 7584 SH SOLE 0 0 7584 VISA INC COM CL A 92826C839 1649 10984 SH SOLE 0 0 10984 VODAFONE GROUP PLC NEW SPONSORED ADR 92857W308 1175 54130 SH SOLE 0 0 54130 WALGREENS BOOTS ALLIANCE INC COM 931427108 250 3432 SH SOLE 0 0 3432 WALMART INC COM 931142103 2890 30776 SH SOLE 0 0 30776 WEC ENERGY GROUP INC COM 92939U106 3524 52792 SH SOLE 0 0 52792 WEIBO CORP SPONSORED ADR 948596101 461 6300 SH SOLE 0 0 6300 WELBILT INC COM 949090104 362 17335 SH SOLE 0 0 17335 WELLS FARGO CO NEW COM 949746101 236 4497 SH SOLE 0 0 4497 WISDOMTREE TR US DIVID EX FNCL 97717W406 202 2239 SH SOLE 0 0 2239