0001085146-19-002972.txt : 20191114 0001085146-19-002972.hdr.sgml : 20191114 20191114093630 ACCESSION NUMBER: 0001085146-19-002972 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191114 DATE AS OF CHANGE: 20191114 EFFECTIVENESS DATE: 20191114 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: 191216938 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 09-30-2019 09-30-2019 false 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 /s/ Mark M. Oswald Elm Groove WI 11-04-2019 0 124 744270 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M CO COM 88579Y101 231 1403 SH SOLE 0 0 1403 ABBOTT LABS COM 002824100 1268 15156 SH SOLE 0 0 15156 ABBVIE INC COM 00287Y109 1420 18754 SH SOLE 0 0 18754 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 259 1347 SH SOLE 0 0 1347 ALLIANT ENERGY CORP COM 018802108 545 10098 SH SOLE 0 0 10098 ALPHABET INC CAP STK CL A 02079K305 347 284 SH SOLE 0 0 284 ALTRIA GROUP INC COM 02209S103 562 13740 SH SOLE 0 0 13740 AMAZON COM INC COM 023135106 1698 978 SH SOLE 0 0 978 AMGEN INC COM 031162100 1977 10214 SH SOLE 0 0 10214 ANNALY CAP MGMT INC COM 035710409 298 33878 SH SOLE 0 0 33878 ANTHEM INC COM 036752103 355 1480 SH SOLE 0 0 1480 APPLE INC COM 037833100 9386 41911 SH SOLE 0 0 41911 APTARGROUP INC COM 038336103 268 2265 SH SOLE 0 0 2265 ASSOCIATED BANC CORP COM 045487105 420 20763 SH SOLE 0 0 20763 ASSURANT INC COM 04621X108 438 3480 SH SOLE 0 0 3480 AT&T INC COM 00206R102 3895 102934 SH SOLE 0 0 102934 BANK AMER CORP COM 060505104 1964 67352 SH SOLE 0 0 67352 BANK FIRST CORPORATION COM 06211J100 1019 15399 SH SOLE 0 0 15399 BANK MONTREAL QUE COM 063671101 313 4241 SH SOLE 0 0 4241 BAXTER INTL INC COM 071813109 486 5555 SH SOLE 0 0 5555 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 384 1849 SH SOLE 0 0 1849 BHP GROUP LTD SPONSORED ADS 088606108 1698 34397 SH SOLE 0 0 34397 BOEING CO COM 097023105 3813 10021 SH SOLE 0 0 10021 BRISTOL MYERS SQUIBB CO COM 110122108 1370 27013 SH SOLE 0 0 27013 BRP INC COM SUN VTG 05577W200 226 5800 SH SOLE 0 0 5800 CHEVRON CORP NEW COM 166764100 3169 26713 SH SOLE 0 0 26713 CISCO SYS INC COM 17275R102 3247 65715 SH SOLE 0 0 65715 CITIGROUP INC COM NEW 172967424 1978 28622 SH SOLE 0 0 28622 COCA COLA CO COM 191216100 300 5515 SH SOLE 0 0 5515 COLONY CR REAL ESTATE INC COM CL A 19625T101 263 18175 SH SOLE 0 0 18175 COMCAST CORP NEW CL A 20030N101 2150 47703 SH SOLE 0 0 47703 DISNEY WALT CO COM DISNEY 254687106 2474 18987 SH SOLE 0 0 18987 EATON CORP PLC SHS G29183103 533 6405 SH SOLE 0 0 6405 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 344 26282 SH SOLE 0 0 26282 EXXON MOBIL CORP COM 30231G102 834 11823 SH SOLE 0 0 11823 FACEBOOK INC CL A 30303M102 267 1501 SH SOLE 0 0 1501 FIDELITY NATL INFORMATION SV COM 31620M106 1420 10697 SH SOLE 0 0 10697 FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 238 3900 SH SOLE 0 0 3900 FISERV INC COM 337738108 2103 20305 SH SOLE 0 0 20305 FORD MTR CO DEL COM 345370860 386 42073 SH SOLE 0 0 42073 GENERAL ELECTRIC CO COM 369604103 110 12389 SH SOLE 0 0 12389 GENERAL MTRS CO COM 37045V100 3130 83509 SH SOLE 0 0 83509 GILEAD SCIENCES INC COM 375558103 1455 22970 SH SOLE 0 0 22970 GLOBAL PMTS INC COM 37940X102 495 3113 SH SOLE 0 0 3113 GOLDMAN SACHS GROUP INC COM 38141G104 2190 10572 SH SOLE 0 0 10572 HOME DEPOT INC COM 437076102 3146 13561 SH SOLE 0 0 13561 HONEYWELL INTL INC COM 438516106 381 2250 SH SOLE 0 0 2250 INTEL CORP COM 458140100 2507 48661 SH SOLE 0 0 48661 INTERNATIONAL BUSINESS MACHS COM 459200101 241 1656 SH SOLE 0 0 1656 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 60119 556244 SH SOLE 0 0 556244 ISHARES TR SELECT DIVID ETF 464287168 278 2726 SH SOLE 0 0 2726 ISHARES TR CORE S&P500 ETF 464287200 10688 35803 SH SOLE 0 0 35803 ISHARES TR CORE S&P MCP ETF 464287507 9912 51295 SH SOLE 0 0 51295 ISHARES TR RUS 1000 VAL ETF 464287598 1140 8887 SH SOLE 0 0 8887 ISHARES TR RUS 1000 GRW ETF 464287614 1611 10090 SH SOLE 0 0 10090 ISHARES TR RUS 2000 VAL ETF 464287630 231 1933 SH SOLE 0 0 1933 ISHARES TR RUSSELL 2000 ETF 464287655 526 3473 SH SOLE 0 0 3473 ISHARES TR CORE S&P SCP ETF 464287804 27082 347914 SH SOLE 0 0 347914 ISHARES TR INTL SEL DIV ETF 464288448 1722 55999 SH SOLE 0 0 55999 ISHARES TR AGGRES ALLOC ETF 464289859 2773 50487 SH SOLE 0 0 50487 ISHARES TR GRWT ALLOCAT ETF 464289867 2783 60414 SH SOLE 0 0 60414 ISHARES TR MODERT ALLOC ETF 464289875 2536 64556 SH SOLE 0 0 64556 ISHARES TR CONSER ALLOC ETF 464289883 1364 38230 SH SOLE 0 0 38230 ISHARES TR FLTG RATE NT ETF 46429B655 263 5167 SH SOLE 0 0 5167 JOHNSON & JOHNSON COM 478160104 430 3326 SH SOLE 0 0 3326 JPMORGAN CHASE & CO COM 46625H100 3320 28203 SH SOLE 0 0 28203 KIMBERLY CLARK CORP COM 494368103 523 3680 SH SOLE 0 0 3680 KOHLS CORP COM 500255104 2112 42524 SH SOLE 0 0 42524 LAM RESEARCH CORP COM 512807108 286 1234 SH SOLE 0 0 1234 LAMB WESTON HLDGS INC COM 513272104 337 4640 SH SOLE 0 0 4640 LAS VEGAS SANDS CORP COM 517834107 1490 25803 SH SOLE 0 0 25803 LILLY ELI & CO COM 532457108 236 2116 SH SOLE 0 0 2116 MCDONALDS CORP COM 580135101 431 2008 SH SOLE 0 0 2008 MERCK & CO INC COM 58933Y105 306 3635 SH SOLE 0 0 3635 MICROSOFT CORP COM 594918104 6205 44638 SH SOLE 0 0 44638 MORGAN STANLEY COM NEW 617446448 1610 37727 SH SOLE 0 0 37727 NEXTERA ENERGY INC COM 65339F101 2497 10714 SH SOLE 0 0 10714 ORACLE CORP COM 68389X105 3293 59822 SH SOLE 0 0 59822 PEPSICO INC COM 713448108 811 5920 SH SOLE 0 0 5920 PFIZER INC COM 717081103 1945 54152 SH SOLE 0 0 54152 PHILIP MORRIS INTL INC COM 718172109 1206 15886 SH SOLE 0 0 15886 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 751 7387 SH SOLE 0 0 7387 PROCTER & GAMBLE CO COM 742718109 464 3729 SH SOLE 0 0 3729 PROSHARES TR SHORT S&P 500 NE 74347B425 334 12800 SH SOLE 0 0 12800 QUAD / GRAPHICS INC COM CL A 747301109 194 18464 SH SOLE 0 0 18464 QUALCOMM INC COM 747525103 2307 30253 SH SOLE 0 0 30253 REGIONS FINL CORP NEW COM 7591EP100 1835 116032 SH SOLE 0 0 116032 SEAGATE TECHNOLOGY PLC SHS G7945M107 3700 68786 SH SOLE 0 0 68786 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 52484 582319 SH SOLE 0 0 582319 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 58173 481964 SH SOLE 0 0 481964 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 51228 1829568 SH SOLE 0 0 1829568 SOUTHWEST AIRLS CO COM 844741108 2806 51941 SH SOLE 0 0 51941 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 1310 38222 SH SOLE 0 0 38222 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 3640 123977 SH SOLE 0 0 123977 SPDR S&P 500 ETF TR TR UNIT 78462F103 4621 15571 SH SOLE 0 0 15571 SPDR SERIES TRUST PORTFOLIO TL STK 78464A805 78213 2128812 SH SOLE 0 0 2128812 SPDR SERIES TRUST PORTFOLIO MD ETF 78464A847 8447 249222 SH SOLE 0 0 249222 SPDR SERIES TRUST PORTFOLIO LR ETF 78464A854 15271 438208 SH SOLE 0 0 438208 SPDR SERIES TRUST PORTFOLIO SM ETF 78468R853 35785 1192851 SH SOLE 0 0 1192851 STRYKER CORP COM 863667101 268 1239 SH SOLE 0 0 1239 TARGET CORP COM 87612E106 2594 24260 SH SOLE 0 0 24260 TEXAS INSTRS INC COM 882508104 868 6714 SH SOLE 0 0 6714 TRANSENTERIX INC COM NEW 89366M201 21 33600 SH SOLE 0 0 33600 UNITEDHEALTH GROUP INC COM 91324P102 694 3194 SH SOLE 0 0 3194 US BANCORP DEL COM NEW 902973304 473 8540 SH SOLE 0 0 8540 VALERO ENERGY CORP NEW COM 91913Y100 2010 23582 SH SOLE 0 0 23582 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 268 2250 SH SOLE 0 0 2250 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 347 4291 SH SOLE 0 0 4291 VANGUARD GROUP DIV APP ETF 921908844 447 3737 SH SOLE 0 0 3737 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 1432 15365 SH SOLE 0 0 15365 VANGUARD INDEX FDS GROWTH ETF 922908736 228 1374 SH SOLE 0 0 1374 VANGUARD INDEX FDS SMALL CP ETF 922908751 41460 269412 SH SOLE 0 0 269412 VANGUARD INDEX FDS TOTAL STK MKT 922908769 72211 478219 SH SOLE 0 0 478219 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 1292 22053 SH SOLE 0 0 22053 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 3650 73136 SH SOLE 0 0 73136 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 212 5175 SH SOLE 0 0 5175 VANGUARD WORLD FDS INF TECH ETF 92204A702 62463 289782 SH SOLE 0 0 289782 VANGUARD WORLD FDS UTILITIES ETF 92204A876 1455 10132 SH SOLE 0 0 10132 VERIZON COMMUNICATIONS INC COM 92343V104 242 4014 SH SOLE 0 0 4014 VISA INC COM CL A 92826C839 1888 10976 SH SOLE 0 0 10976 WALMART INC COM 931142103 4147 34944 SH SOLE 0 0 34944 WEC ENERGY GROUP INC COM 92939U106 5444 57242 SH SOLE 0 0 57242 WEIBO CORP SPONSORED ADR 948596101 282 6300 SH SOLE 0 0 6300 WELBILT INC COM 949090104 244 14511 SH SOLE 0 0 14511