0001062993-19-000683.txt : 20190212 0001062993-19-000683.hdr.sgml : 20190212 20190212112103 ACCESSION NUMBER: 0001062993-19-000683 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20181231 FILED AS OF DATE: 20190212 DATE AS OF CHANGE: 20190212 EFFECTIVENESS DATE: 20190212 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: 19588922 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 12-31-2018 12-31-2018 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 02-11-2019 0 129 634334 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE 3M CO COM 88579Y101 237 1245 SH SOLE 0 0 1245 ABBOTT LABS COM 002824100 1091 15089 SH SOLE 0 0 15089 ABBVIE INC COM 00287Y109 4490 48703 SH SOLE 0 0 48703 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 263 1867 SH SOLE 0 0 1867 ALLIANT ENERGY CORP COM 018802108 399 9434 SH SOLE 0 0 9434 ALTRIA GROUP INC COM 02209S103 739 14971 SH SOLE 0 0 14971 AMAZON COM INC COM 023135106 850 566 SH SOLE 0 0 566 AMGEN INC COM 031162100 1977 10157 SH SOLE 0 0 10157 ANNALY CAP MGMT INC COM 035710409 370 37665 SH SOLE 0 0 37665 ANTHEM INC COM 036752103 1639 6243 SH SOLE 0 0 6243 APPLE INC COM 037833100 5193 32922 SH SOLE 0 0 32922 ASSOCIATED BANC CORP COM 045487105 533 26937 SH SOLE 0 0 26937 ASSURANT INC COM 04621X108 324 3626 SH SOLE 0 0 3626 AT&T INC COM 00206R102 2683 93991 SH SOLE 0 0 93991 BANK AMER CORP COM 060505104 1790 72647 SH SOLE 0 0 72647 BANK MONTREAL QUE COM 063671101 222 3397 SH SOLE 0 0 3397 BAXTER INTL INC COM 071813109 359 5460 SH SOLE 0 0 5460 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 331 1621 SH SOLE 0 0 1621 BHP GROUP LIMITED SPONSORED ADS 088606108 1671 34601 SH SOLE 0 0 34601 BOEING CO COM 097023105 688 2134 SH SOLE 0 0 2134 CAPITAL ONE FINL CORP COM 14040H105 2211 29251 SH SOLE 0 0 29251 CHEVRON CORP NEW COM 166764100 233 2138 SH SOLE 0 0 2138 CISCO SYS INC COM 17275R102 1822 42050 SH SOLE 0 0 42050 CITIGROUP INC COM NEW 172967424 1356 26042 SH SOLE 0 0 26042 COCA COLA CO COM 191216100 237 5002 SH SOLE 0 0 5002 COLONY CAP INC NEW CL A COM 19626G108 69 14700 SH SOLE 0 0 14700 COLONY CR REAL ESTATE INC COM CL A 19625T101 332 21004 SH SOLE 0 0 21004 CONOCOPHILLIPS COM 20825C104 2178 34927 SH SOLE 0 0 34927 CORNING INC COM 219350105 1827 60485 SH SOLE 0 0 60485 DISNEY WALT CO COM DISNEY 254687106 308 2813 SH SOLE 0 0 2813 EATON CORP PLC SHS G29183103 409 5962 SH SOLE 0 0 5962 ENSYNC INC COM 29359T102 4 20000 SH SOLE 0 0 20000 EXXON MOBIL CORP COM 30231G102 573 8407 SH SOLE 0 0 8407 FIDELITY NATL INFORMATION SV COM 31620M106 1094 10668 SH SOLE 0 0 10668 FISERV INC COM 337738108 1202 16361 SH SOLE 0 0 16361 GENERAL ELECTRIC CO COM 369604103 100 13248 SH SOLE 0 0 13248 GENERAL MTRS CO COM 37045V100 1481 44260 SH SOLE 0 0 44260 GILEAD SCIENCES INC COM 375558103 1375 21982 SH SOLE 0 0 21982 GLOBAL PMTS INC COM 37940X102 363 3521 SH SOLE 0 0 3521 HANCOCK JOHN PFD INCOME FD I COM 41021P103 178 11210 SH SOLE 0 0 11210 HANCOCK JOHN PFD INCOME FD SH BEN INT 41013W108 205 10882 SH SOLE 0 0 10882 HERCULES CAPITAL INC COM 427096508 194 17550 SH SOLE 0 0 17550 HOME DEPOT INC COM 437076102 2267 13192 SH SOLE 0 0 13192 HONEYWELL INTL INC COM 438516106 292 2210 SH SOLE 0 0 2210 INTEL CORP COM 458140100 2217 47231 SH SOLE 0 0 47231 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 51295 561216 SH SOLE 0 0 561216 ISHARES TR AGGRES ALLOC ETF 464289859 2032 41846 SH SOLE 0 0 41846 ISHARES TR CONSER ALLOC ETF 464289883 1067 32602 SH SOLE 0 0 32602 ISHARES TR CORE S&P MCP ETF 464287507 8940 53837 SH SOLE 0 0 53837 ISHARES TR CORE S&P SCP ETF 464287804 25694 370661 SH SOLE 0 0 370661 ISHARES TR CORE S&P500 ETF 464287200 10284 40872 SH SOLE 0 0 40872 ISHARES TR FLTG RATE NT ETF 46429B655 3263 64794 SH SOLE 0 0 64794 ISHARES TR GRWT ALLOCAT ETF 464289867 2202 53308 SH SOLE 0 0 53308 ISHARES TR IBOXX INV CP ETF 464287242 399 3535 SH SOLE 0 0 3535 ISHARES TR INTL SEL DIV ETF 464288448 1078 37547 SH SOLE 0 0 37547 ISHARES TR MODERT ALLOC ETF 464289875 2056 57616 SH SOLE 0 0 57616 ISHARES TR RUS 1000 GRW ETF 464287614 2333 17822 SH SOLE 0 0 17822 ISHARES TR RUS 1000 VAL ETF 464287598 1504 13540 SH SOLE 0 0 13540 ISHARES TR RUS 2000 VAL ETF 464287630 291 2706 SH SOLE 0 0 2706 ISHARES TR RUSSELL 2000 ETF 464287655 490 3659 SH SOLE 0 0 3659 ISHARES TR SELECT DIVID ETF 464287168 201 2252 SH SOLE 0 0 2252 JOHNSON & JOHNSON COM 478160104 371 2873 SH SOLE 0 0 2873 JPMORGAN CHASE & CO COM 46625H100 2206 22596 SH SOLE 0 0 22596 KIMBERLY CLARK CORP COM 494368103 450 3954 SH SOLE 0 0 3954 KOHLS CORP COM 500255104 1827 27541 SH SOLE 0 0 27541 LAM RESEARCH CORP COM 512807108 1222 8972 SH SOLE 0 0 8972 LAMB WESTON HLDGS INC COM 513272104 341 4640 SH SOLE 0 0 4640 LAS VEGAS SANDS CORP COM 517834107 1232 23673 SH SOLE 0 0 23673 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 1493 17948 SH SOLE 0 0 17948 MARATHON PETE CORP COM 56585A102 1224 20741 SH SOLE 0 0 20741 MAXWELL TECHNOLOGIES INC COM 577767106 21 10000 SH SOLE 0 0 10000 MCDONALDS CORP COM 580135101 344 1940 SH SOLE 0 0 1940 MERCK & CO INC COM 58933Y105 238 3112 SH SOLE 0 0 3112 MICROSOFT CORP COM 594918104 4092 40288 SH SOLE 0 0 40288 MORGAN STANLEY COM NEW 617446448 1346 33951 SH SOLE 0 0 33951 NETAPP INC COM 64110D104 1683 28203 SH SOLE 0 0 28203 NUVEEN MUN VALUE FD INC COM 670928100 93 10000 SH SOLE 0 0 10000 ORACLE CORP COM 68389X105 2676 59271 SH SOLE 0 0 59271 PARATEK PHARMACEUTICALS INC COM 699374302 77 15100 SH SOLE 0 0 15100 PEPSICO INC COM 713448108 614 5559 SH SOLE 0 0 5559 PFIZER INC COM 717081103 2288 52406 SH SOLE 0 0 52406 PHILIP MORRIS INTL INC COM 718172109 1186 17759 SH SOLE 0 0 17759 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 4583 45394 SH SOLE 0 0 45394 PROCTER AND GAMBLE CO COM 742718109 295 3210 SH SOLE 0 0 3210 QUAD / GRAPHICS INC COM CL A 747301109 134 10859 SH SOLE 0 0 10859 QUALCOMM INC COM 747525103 1883 33087 SH SOLE 0 0 33087 REGIONS FINL CORP NEW COM 7591EP100 1287 96209 SH SOLE 0 0 96209 ROADRUNNER TRNSN SVCS HLDG I COM 76973Q105 9 18366 SH SOLE 0 0 18366 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 253 4217 SH SOLE 0 0 4217 SCRIPPS E W CO OHIO CL A NEW 811054402 190 12103 SH SOLE 0 0 12103 SEAGATE TECHNOLOGY PLC SHS G7945M107 2600 67369 SH SOLE 0 0 67369 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 43075 435056 SH SOLE 0 0 435056 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 44454 513860 SH SOLE 0 0 513860 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 37675 1581643 SH SOLE 0 0 1581643 SOUTHWEST AIRLS CO COM 844741108 2323 49979 SH SOLE 0 0 49979 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 9100 344036 SH SOLE 0 0 344036 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 4373 135145 SH SOLE 0 0 135145 SPDR S&P 500 ETF TR TR UNIT 78462F103 3566 14269 SH SOLE 0 0 14269 SPDR SER TR PORTFOLIO SM ETF 78468R853 19871 753822 SH SOLE 0 0 753822 SPDR SERIES TRUST PORTFOLIO LR ETF 78464A854 13583 465003 SH SOLE 0 0 465003 SPDR SERIES TRUST PORTFOLIO MD ETF 78464A847 3498 118909 SH SOLE 0 0 118909 SPDR SERIES TRUST PORTFOLIO TL STK 78464A805 48211 1559731 SH SOLE 0 0 1559731 TARGET CORP COM 87612E106 1473 22293 SH SOLE 0 0 22293 TEXAS INSTRS INC COM 882508104 711 7521 SH SOLE 0 0 7521 TOTAL S A SPONSORED ADR 89151E109 1438 27564 SH SOLE 0 0 27564 TRANSENTERIX INC COM NEW 89366M201 78 34600 SH SOLE 0 0 34600 UNITEDHEALTH GROUP INC COM 91324P102 2105 8452 SH SOLE 0 0 8452 US BANCORP DEL COM NEW 902973304 282 6163 SH SOLE 0 0 6163 VALERO ENERGY CORP NEW COM 91913Y100 1676 22355 SH SOLE 0 0 22355 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 20789 264598 SH SOLE 0 0 264598 VANGUARD GROUP DIV APP ETF 921908844 526 5373 SH SOLE 0 0 5373 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 811 10882 SH SOLE 0 0 10882 VANGUARD INDEX FDS SMALL CP ETF 922908751 37602 284887 SH SOLE 0 0 284887 VANGUARD INDEX FDS TOTAL STK MKT 922908769 68256 534799 SH SOLE 0 0 534799 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 4090 89742 SH SOLE 0 0 89742 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 746 14236 SH SOLE 0 0 14236 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 9680 260924 SH SOLE 0 0 260924 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 214 2742 SH SOLE 0 0 2742 VANGUARD WORLD FDS INF TECH ETF 92204A702 44945 269408 SH SOLE 0 0 269408 VANGUARD WORLD FDS UTILITIES ETF 92204A876 821 6966 SH SOLE 0 0 6966 VERIZON COMMUNICATIONS INC COM 92343V104 207 3677 SH SOLE 0 0 3677 VISA INC COM CL A 92826C839 1520 11522 SH SOLE 0 0 11522 VODAFONE GROUP PLC NEW SPONSORED ADR 92857W308 1242 64430 SH SOLE 0 0 64430 WALGREENS BOOTS ALLIANCE INC COM 931427108 228 3336 SH SOLE 0 0 3336 WALMART INC COM 931142103 3140 33714 SH SOLE 0 0 33714 WEC ENERGY GROUP INC COM 92939U106 3598 51950 SH SOLE 0 0 51950 WEIBO CORP SPONSORED ADR 948596101 368 6300 SH SOLE 0 0 6300 WELLS FARGO CO NEW COM 949746101 206 4466 SH SOLE 0 0 4466 YRC WORLDWIDE INC COM PAR $.01 984249607 90 28501 SH SOLE 0 0 28501