Chief Compliance Officer

0001085146-20-002631.txt : 20201023 0001085146-20-002631.hdr.sgml : 20201023 20201023170650 ACCESSION NUMBER: 0001085146-20-002631 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201023 DATE AS OF CHANGE: 20201023 EFFECTIVENESS DATE: 20201023 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: 201258401 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 false false 0001542287 XXXXXXXX 09-30-2020 09-30-2020 false Annex Advisory Services, LLC

12700 W. BLUEMOUND ROAD SUITE 200 ELM GROVE WI 53122

13F HOLDINGS REPORT 028-15012 N Naomi Ackley Chief Compliance Officer 262-786-6363 /s/ Naomi Ackley Elm Groove WI 10-23-2020 0 137 784463 false INFORMATION TABLE 2 infotable.xml INFORMATION TABLE ABBOTT LABS COM 002824100 2821 25919 SH SOLE 0 0 25919 ABBVIE INC COM 00287Y109 5652 64527 SH SOLE 0 0 64527 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 278 1229 SH SOLE 0 0 1229 ADOBE SYSTEMS INCORPORATED COM 00724F101 201 409 SH SOLE 0 0 409 ALLIANT ENERGY CORP COM 018802108 452 8753 SH SOLE 0 0 8753 ALPHABET INC CAP STK CL A 02079K305 598 408 SH SOLE 0 0 408 ALPHABET INC CAP STK CL C 02079K107 306 208 SH SOLE 0 0 208 ALTRIA GROUP INC COM 02209S103 3518 91048 SH SOLE 0 0 91048 AMAZON COM INC COM 023135106 3426 1088 SH SOLE 0 0 1088 AMERICAN TOWER CORP NEW COM 03027X100 2722 11259 SH SOLE 0 0 11259 AMGEN INC COM 031162100 3126 12299 SH SOLE 0 0 12299 ANTHEM INC COM 036752103 284 1057 SH SOLE 0 0 1057 APPLE INC COM 037833100 20701 178746 SH SOLE 0 0 178746 APPLIED MATLS INC COM 038222105 1907 32083 SH SOLE 0 0 32083 APTARGROUP INC COM 038336103 256 2265 SH SOLE 0 0 2265 ASSOCIATED BANC CORP COM 045487105 180 14293 SH SOLE 0 0 14293 ASSURANT INC COM 04621X108 2312 19059 SH SOLE 0 0 19059 AT&T INC COM 00206R102 3941 138220 SH SOLE 0 0 138220 BANK FIRST CORP COM 06211J100 875 14899 SH SOLE 0 0 14899 BAXTER INTL INC COM 071813109 463 5757 SH SOLE 0 0 5757 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1038 4876 SH SOLE 0 0 4876 BOEING CO COM 097023105 2174 13152 SH SOLE 0 0 13152 BRISTOL-MYERS SQUIBB CO COM 110122108 2985 49505 SH SOLE 0 0 49505 BRP INC COM SUN VTG 05577W200 235 4450 SH SOLE 0 0 4450 CHEVRON CORP NEW COM 166764100 1607 22326 SH SOLE 0 0 22326 COCA COLA CO COM 191216100 319 6462 SH SOLE 0 0 6462 COLGATE PALMOLIVE CO COM 194162103 260 3370 SH SOLE 0 0 3370 COLONY CR REAL ESTATE INC COM CL A 19625T101 231 47109 SH SOLE 0 0 47109 COMCAST CORP NEW CL A 20030N101 3239 70018 SH SOLE 0 0 70018 COSTCO WHSL CORP NEW COM 22160K105 289 813 SH SOLE 0 0 813 DIREXION SHS ETF TR DLY S&P500 BR 1X 25460E869 449 21584 SH SOLE 0 0 21584 DIREXION SHS ETF TR DLY S&P500 BR 3X 25460E885 62 10800 SH SOLE 0 0 10800 DISNEY WALT CO COM DISNEY 254687106 2982 24030 SH SOLE 0 0 24030 DOVER CORP COM 260003108 1705 15736 SH SOLE 0 0 15736 EATON CORP PLC SHS G29183103 1230 12052 SH SOLE 0 0 12052 ECOLAB INC COM 278865100 357 1788 SH SOLE 0 0 1788 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 169 31128 SH SOLE 0 0 31128 ENPHASE ENERGY INC COM 29355A107 330 4000 SH SOLE 0 0 4000 ENTERPRISE PRODS PARTNERS L COM 293792107 193 12240 SH SOLE 0 0 12240 EXACT SCIENCES CORP COM 30063P105 274 2689 SH SOLE 0 0 2689 EXXON MOBIL CORP COM 30231G102 403 11753 SH SOLE 0 0 11753 FACEBOOK INC CL A 30303M102 527 2014 SH SOLE 0 0 2014 FIDELITY NATL INFORMATION SV COM 31620M106 1534 10423 SH SOLE 0 0 10423 FIRST MIDWEST BANCORP DEL COM 320867104 303 28116 SH SOLE 0 0 28116 FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 247 3900 SH SOLE 0 0 3900 FISERV INC COM 337738108 2060 19991 SH SOLE 0 0 19991 FORD MTR CO DEL COM 345370860 210 31491 SH SOLE 0 0 31491 GENERAL ELECTRIC CO COM 369604103 113 18070 SH SOLE 0 0 18070 GLOBAL PMTS INC COM 37940X102 551 3101 SH SOLE 0 0 3101 GOLDMAN SACHS GROUP INC COM 38141G104 2745 13661 SH SOLE 0 0 13661 HOME DEPOT INC COM 437076102 4148 14938 SH SOLE 0 0 14938 HONEYWELL INTL INC COM 438516106 378 2295 SH SOLE 0 0 2295 INTEL CORP COM 458140100 469 9065 SH SOLE 0 0 9065 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 232 2149 SH SOLE 0 0 2149 INVESCO QQQ TR UNIT SER 1 46090E103 298 1073 SH SOLE 0 0 1073 ISHARES TR MRNGSTR LG-CP GR 464287119 221 825 SH SOLE 0 0 825 ISHARES TR GRWT ALLOCAT ETF 464289867 1815 37463 SH SOLE 0 0 37463 ISHARES TR AGGRES ALLOC ETF 464289859 1780 30682 SH SOLE 0 0 30682 ISHARES TR MODERT ALLOC ETF 464289875 1683 41009 SH SOLE 0 0 41009 ISHARES TR US HOME CONS ETF 464288752 620 10950 SH SOLE 0 0 10950 ISHARES TR CONSER ALLOC ETF 464289883 1146 30843 SH SOLE 0 0 30843 ISHARES TR FLTG RATE NT ETF 46429B655 262 5173 SH SOLE 0 0 5173 ISHARES TR RUS 1000 GRW ETF 464287614 2044 9425 SH SOLE 0 0 9425 ISHARES TR CORE MSCI EAFE 46432F842 354 5874 SH SOLE 0 0 5874 ISHARES TR CORE S&P500 ETF 464287200 8462 25180 SH SOLE 0 0 25180 ISHARES TR RUS 1000 VAL ETF 464287598 910 7704 SH SOLE 0 0 7704 ISHARES TR CORE S&P SCP ETF 464287804 21338 303835 SH SOLE 0 0 303835 ISHARES TR 1 3 YR TREAS BD 464287457 966 11163 SH SOLE 0 0 11163 ISHARES TR INTL SEL DIV ETF 464288448 1957 78483 SH SOLE 0 0 78483 J P MORGAN EXCHANGE-TRADED F ULTRA SHT MUNCPL 46641Q654 2742 53782 SH SOLE 0 0 53782 JOHNSON & JOHNSON COM 478160104 3680 24716 SH SOLE 0 0 24716 JPMORGAN CHASE & CO COM 46625H100 3490 36249 SH SOLE 0 0 36249 KIMBERLY CLARK CORP COM 494368103 420 2847 SH SOLE 0 0 2847 KOHLS CORP COM 500255104 1110 59887 SH SOLE 0 0 59887 KRAFT HEINZ CO COM 500754106 1390 46414 SH SOLE 0 0 46414 LAM RESEARCH CORP COM 512807108 409 1234 SH SOLE 0 0 1234 LAS VEGAS SANDS CORP COM 517834107 872 18690 SH SOLE 0 0 18690 LENNAR CORP CL A 526057104 1739 21291 SH SOLE 0 0 21291 LILLY ELI & CO COM 532457108 308 2082 SH SOLE 0 0 2082 LOWES COS INC COM 548661107 251 1510 SH SOLE 0 0 1510 MCDONALDS CORP COM 580135101 500 2280 SH SOLE 0 0 2280 MERCK & CO. INC COM 58933Y105 3399 40974 SH SOLE 0 0 40974 MICROSOFT CORP COM 594918104 11322 53830 SH SOLE 0 0 53830 NEXTERA ENERGY INC COM 65339F101 2985 10755 SH SOLE 0 0 10755 PEPSICO INC COM 713448108 900 6497 SH SOLE 0 0 6497 PFIZER INC COM 717081103 224 6113 SH SOLE 0 0 6113 PHILIP MORRIS INTL INC COM 718172109 954 12722 SH SOLE 0 0 12722 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 8854 86838 SH SOLE 0 0 86838 PROCTER AND GAMBLE CO COM 742718109 1169 8413 SH SOLE 0 0 8413 PROSHARES TR SHORT S&P 500 NE 74347B425 50811 2500527 SH SOLE 0 0 2500527 PULTE GROUP INC COM 745867101 1552 33534 SH SOLE 0 0 33534 QUAD / GRAPHICS INC COM CL A 747301109 65 21431 SH SOLE 0 0 21431 QUALCOMM INC COM 747525103 4282 36383 SH SOLE 0 0 36383 REGIONS FINANCIAL CORP NEW COM 7591EP100 2642 229155 SH SOLE 0 0 229155 SALESFORCE COM INC COM 79466L302 306 1219 SH SOLE 0 0 1219 SCHWAB CHARLES CORP COM 808513105 2445 67477 SH SOLE 0 0 67477 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 504 4377 SH SOLE 0 0 4377 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 292 3668 SH SOLE 0 0 3668 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 225 1931 SH SOLE 0 0 1931 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 74698 708170 SH SOLE 0 0 708170 SOUTHWEST AIRLS CO COM 844741108 1470 39188 SH SOLE 0 0 39188 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 3310 113118 SH SOLE 0 0 113118 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 1271 34774 SH SOLE 0 0 34774 SPDR S&P 500 ETF TR TR UNIT 78462F103 2088 6236 SH SOLE 0 0 6236 SPDR SER TR PORTFOLIO S&P500 78464A854 13509 343300 SH SOLE 0 0 343300 SPDR SER TR PORTFOLIO S&P600 78468R853 48339 1765469 SH SOLE 0 0 1765469 SPDR SER TR S&P DIVID ETF 78464A763 306 3315 SH SOLE 0 0 3315 SPDR SER TR PORTFOLI S&P1500 78464A805 105268 2574416 SH SOLE 0 0 2574416 STRYKER CORPORATION COM 863667101 284 1362 SH SOLE 0 0 1362 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 2104 25952 SH SOLE 0 0 25952 TARGET CORP COM 87612E106 3947 25072 SH SOLE 0 0 25072 TESLA INC COM 88160R101 506 1180 SH SOLE 0 0 1180 TEXAS INSTRS INC COM 882508104 1013 7094 SH SOLE 0 0 7094 UNITEDHEALTH GROUP INC COM 91324P102 2159 6924 SH SOLE 0 0 6924 US BANCORP DEL COM NEW 902973304 404 11271 SH SOLE 0 0 11271 VALERO ENERGY CORP COM 91913Y100 1544 35631 SH SOLE 0 0 35631 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 2096 25233 SH SOLE 0 0 25233 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 264 858 SH SOLE 0 0 858 VANGUARD INDEX FDS TOTAL STK MKT 922908769 71740 421230 SH SOLE 0 0 421230 VANGUARD INDEX FDS SMALL CP ETF 922908751 40668 264422 SH SOLE 0 0 264422 VANGUARD INDEX FDS GROWTH ETF 922908736 437 1922 SH SOLE 0 0 1922 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 1386 17558 SH SOLE 0 0 17558 VANGUARD INDEX FDS LARGE CAP ETF 922908637 272 1737 SH SOLE 0 0 1737 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 216 4999 SH SOLE 0 0 4999 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 1289 26528 SH SOLE 0 0 26528 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 1534 30408 SH SOLE 0 0 30408 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 38038 295645 SH SOLE 0 0 295645 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 261 3226 SH SOLE 0 0 3226 VANGUARD WORLD FDS UTILITIES ETF 92204A876 1662 12877 SH SOLE 0 0 12877 VANGUARD WORLD FDS INF TECH ETF 92204A702 97362 312610 SH SOLE 0 0 312610 VERIZON COMMUNICATIONS INC COM 92343V104 4083 68641 SH SOLE 0 0 68641 VIACOMCBS INC CL B 92556H206 1312 46829 SH SOLE 0 0 46829 VISA INC COM CL A 92826C839 2333 11668 SH SOLE 0 0 11668 WALMART INC COM 931142103 5486 39211 SH SOLE 0 0 39211 WEC ENERGY GROUP INC COM 92939U106 9712 100230 SH SOLE 0 0 100230 WEIBO CORP SPONSORED ADR 948596101 230 6300 SH SOLE 0 0 6300 WELBILT INC COM 949090104 97 15731 SH SOLE 0 0 15731