0001062993-19-002217.txt : 20190514
0001062993-19-002217.hdr.sgml : 20190514
20190514150717
ACCESSION NUMBER: 0001062993-19-002217
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20190331
FILED AS OF DATE: 20190514
DATE AS OF CHANGE: 20190514
EFFECTIVENESS DATE: 20190514
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Pensionmark Financial Group, LLC
CENTRAL INDEX KEY: 0001652594
IRS NUMBER: 611758632
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-19391
FILM NUMBER: 19822316
BUSINESS ADDRESS:
STREET 1: 24 E. COTA STREET, SUITE 200
CITY: SANTA BARBARA
STATE: CA
ZIP: 93101
BUSINESS PHONE: 805-456-6265
MAIL ADDRESS:
STREET 1: 24 E. COTA STREET, SUITE 200
CITY: SANTA BARBARA
STATE: CA
ZIP: 93101
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
true
false
0001652594
XXXXXXXX
03-31-2019
03-31-2019
Pensionmark Financial Group, LLC
24 E. COTA STREET, SUITE 200
SANTA BARBARA
CA
93101
13F HOLDINGS REPORT
028-19391
N
Jennifer Tanck
Executive Vice President
(813) 453-4659
Jennifer Tanck
Santa Barbara
CA
05-14-2019
0
129
219681
false
INFORMATION TABLE
2
form13fInfoTable.xml
FORM 13F INFORMATION TABLE
ALPS ETF TR
ALERIAN MLP
00162Q866
266
26527
SH
SOLE
0
0
26527
ALPHA ARCHITECT ETF TR
VAL MOMTM TRND
02072L508
897
36110
SH
SOLE
0
0
36110
ALPHABET INC
CAP STK CL A
02079K305
237
201
SH
SOLE
0
0
201
ALTRIA GROUP INC
COM
02209S103
253
4348
SH
SOLE
0
0
4348
AMAZON COM INC
COM
023135106
1665
935
SH
SOLE
0
0
935
APPLE INC
COM
037833100
1490
7845
SH
SOLE
0
0
7845
AT&T INC
COM
00206R102
414
13191
SH
SOLE
0
0
13191
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
612
3046
SH
SOLE
0
0
3046
BOEING CO
COM
097023105
490
1285
SH
SOLE
0
0
1285
CALIFORNIA RES CORP
COM NEW
13057Q206
3537
137567
SH
SOLE
0
0
137567
CAMBRIA ETF TR
GLB MOMENT ETF
132061508
935
37041
SH
SOLE
0
0
37041
CAMBRIA ETF TR
GLOBAL VALUE ETF
132061409
353
15597
SH
SOLE
0
0
15597
CANOPY GROWTH CORP
COM
138035100
290
6685
SH
SOLE
0
0
6685
CELLCOM ISRAEL LTD
SHS
M2196U109
39
10825
SH
SOLE
0
0
10825
CHEVRON CORP NEW
COM
166764100
1275
10347
SH
SOLE
0
0
10347
CISCO SYS INC
COM
17275R102
582
10771
SH
SOLE
0
0
10771
DANAHER CORPORATION
COM
235851102
324
2451
SH
SOLE
0
0
2451
DENBURY RES INC
COM NEW
247916208
53
26000
SH
SOLE
0
0
26000
LILLY ELI & CO
COM
532457108
208
1602
SH
SOLE
0
0
1602
ENBRIDGE INC
COM
29250N105
241
6634
SH
SOLE
0
0
6634
ENERGY TRANSFER LP
COM UT LTD PTN
29273V100
288
18716
SH
SOLE
0
0
18716
ENOCHIAN BIOSCIENCES INC
COM
29350E104
4
525
SH
SOLE
0
0
525
EXXON MOBIL CORP
COM
30231G102
625
7731
SH
SOLE
0
0
7731
FIDELITY
QLTY FCTOR ETF
316092790
1016
30036
SH
SOLE
0
0
30036
FIRST TR EXCHANGE TRADED FD
CONSUMR STAPLE
33734X119
308
6726
SH
SOLE
0
0
6726
FIRST TR EXCHANGE TRADED FD
DORSEY WRT 5 ETF
33738R605
465
15478
SH
SOLE
0
0
15478
ENOCHIAN BIOSCIENCES INC
COM
29350E104
400
2879
SH
SOLE
0
0
2879
FIRST TR EXCHANGE TRADED FD
FINLS ALPHADEX
33734X135
312
10317
SH
SOLE
0
0
10317
FIRST TR LRGE CP CORE ALPHA
COM SHS
33734K109
237
3991
SH
SOLE
0
0
3991
FIRST TR EXCHANGE-TRADED FD
PFD SECS INC ETF
33739E108
252
13200
SH
SOLE
0
0
13200
FORD MTR CO DEL
COM
345370860
183
20835
SH
SOLE
0
0
20835
FS KKR CAPITAL CORP
COM
302635107
282
45200
SH
SOLE
0
0
45200
GENERAL ELECTRIC CO
COM
369604103
212
21218
SH
SOLE
0
0
21218
HECLA MNG CO
COM
422704106
74
32008
SH
SOLE
0
0
32008
INVESCO EXCH TRD SLF IDX FD
BULSHS 2022 CB
46138J882
7261
343789
SH
SOLE
0
0
343789
INVESCO EXCHANGE TRADED FD T
FTSE RAFI 1000
46137V613
3924
34609
SH
SOLE
0
0
34609
INVESCO EXCHNG TRADED FD TR
PFD ETF
46138E511
191
13206
SH
SOLE
0
0
13206
INVESCO EXCHANGE TRADED FD T
S&P500 EQL WGT
46137V357
755
7226
SH
SOLE
0
0
7226
INVESCO EXCHANGE TRADED FD T
S&P 500 TOP 50
46137V233
472
2325
SH
SOLE
0
0
2325
INDEXIQ ETF TR
IQ MRGR ARB ETF
45409B800
639
20011
SH
SOLE
0
0
20011
ISHARES TR
0-5YR INVT GR CP
46434V100
15122
299743
SH
SOLE
0
0
299743
ISHARES TR
1 3 YR TREAS BD
464287457
8502
101070
SH
SOLE
0
0
101070
ISHARES TR
CORE MSCI EAFE
46432F842
2148
35344
SH
SOLE
0
0
35344
ISHARES TR
CORE MSCI TOTAL
46432F834
13206
227421
SH
SOLE
0
0
227421
ISHARES TR
CORE S&P500 ETF
464287200
703
2470
SH
SOLE
0
0
2470
ISHARES TR
CORE S&P MCP ETF
464287507
390
2059
SH
SOLE
0
0
2059
ISHARES TR
CORE S&P SCP ETF
464287804
1406
18225
SH
SOLE
0
0
18225
ISHARES TR
CORE S&P TTL STK
464287150
920
14290
SH
SOLE
0
0
14290
ISHARES TR
CORE US AGGBD ET
464287226
6254
57341
SH
SOLE
0
0
57341
ISHARES INC
MIN VOL EMRG MKT
464286533
1675
28264
SH
SOLE
0
0
28264
ISHARES TR
MIN VOL USA ETF
46429B697
4026
68463
SH
SOLE
0
0
68463
ISHARES TR
USA MOMENTUM FCT
46432F396
901
8033
SH
SOLE
0
0
8033
ISHARES TR
IBOXX HI YD ETF
464288513
276
3191
SH
SOLE
0
0
3191
ISHARES TR
MBS ETF
464288588
233
2186
SH
SOLE
0
0
2186
ISHARES TR
MRGSTR MD CP ETF
464288208
424
2256
SH
SOLE
0
0
2256
ISHARES TR
MSCI EAFE ETF
464287465
2596
40020
SH
SOLE
0
0
40020
ISHARES TR
EAFE VALUE ETF
464288877
344
7045
SH
SOLE
0
0
7045
ISHARES INC
MSCI FRNTR100ETF
464286145
484
16993
SH
SOLE
0
0
16993
ISHARES TR
RUS 1000 GRW ETF
464287614
440
2907
SH
SOLE
0
0
2907
ISHARES TR
RUS 1000 VAL ETF
464287598
658
5332
SH
SOLE
0
0
5332
ISHARES TR
RUSSELL 2000 ETF
464287655
203
1328
SH
SOLE
0
0
1328
ISHARES TR
RUS MID CAP ETF
464287499
219
4064
SH
SOLE
0
0
4064
ISHARES TR
RUS MDCP VAL ETF
464287473
204
2344
SH
SOLE
0
0
2344
ISHARES TR
S&P 500 GRWT ETF
464287309
20829
120844
SH
SOLE
0
0
120844
ISHARES TR
S&P 500 VAL ETF
464287408
227
2017
SH
SOLE
0
0
2017
ISHARES TR
S&P MC 400GR ETF
464287606
19484
88929
SH
SOLE
0
0
88929
ISHARES TR
S&P SML 600 GWT
464287887
14502
81263
SH
SOLE
0
0
81263
ISHARES TR
SELECT DIVID ETF
464287168
272
2769
SH
SOLE
0
0
2769
ISHARES US ETF TR
SHT MAT BD ETF
46431W507
339
6744
SH
SOLE
0
0
6744
ISHARES TR
TIPS BD ETF
464287176
261
2307
SH
SOLE
0
0
2307
ISHARES TR
US AER DEF ETF
464288760
366
1835
SH
SOLE
0
0
1835
JOHNSON & JOHNSON
COM
478160104
294
2103
SH
SOLE
0
0
2103
JUST ENERGY GROUP INC
COM
48213W101
68
20000
SH
SOLE
0
0
20000
LEGACY RESVS INC
COM
524706108
785
1598130
SH
SOLE
0
0
1598130
LIGHTBRIDGE CORP
COM NEW
53224K203
17
30000
SH
SOLE
0
0
30000
LOCKHEED MARTIN CORP
COM
539830109
266
885
SH
SOLE
0
0
885
MERCK & CO INC
COM
58933Y105
246
2933
SH
SOLE
0
0
2933
MICROSOFT CORP
COM
594918104
614
5206
SH
SOLE
0
0
5206
NEW SR INVT GROUP INC
COM
648691103
69
12600
SH
SOLE
0
0
12600
NUVEEN CALIFORNIA AMT QLT MU
COM
670651108
321
22965
SH
SOLE
0
0
22965
NUVEEN CA QUALTY MUN INCOME
COM
67066Y105
206
14906
SH
SOLE
0
0
14906
NUVEEN FLTNG RTE INCM OPP FD
COM SHS
6706EN100
134
13900
SH
SOLE
0
0
13900
PIMCO DYNMIC CREDIT AND MRT
COM SHS
72202D106
279
11810
SH
SOLE
0
0
11810
PIMCO INCOME OPPORTUNITY FD
COM
72202B100
255
9515
SH
SOLE
0
0
9515
PIMCO STRATEGIC INCOME FD IN
COM
72200X104
119
11231
SH
SOLE
0
0
11231
NORTHERN LTS FD TR IV
QUTX RSK MNDGW
66538H732
937
33108
SH
SOLE
0
0
33108
NORTHERN LTS FD TR IV
QUTX RSK MGDML
66538H716
987
39700
SH
SOLE
0
0
39700
REGIONS FINL CORP NEW
COM
7591EP100
184
12982
SH
SOLE
0
0
12982
ROYAL BK CDA MONTREAL QUE
COM
780087102
234
3092
SH
SOLE
0
0
3092
SCHWAB STRATEGIC TR
INTL EQTY ETF
808524805
6104
194958
SH
SOLE
0
0
194958
SCHWAB STRATEGIC TR
SHT TM US TRES
808524862
5399
107577
SH
SOLE
0
0
107577
SCHWAB STRATEGIC TR
US LRG CAP ETF
808524201
222
3285
SH
SOLE
0
0
3285
SCHWAB STRATEGIC TR
US LCAP GR ETF
808524300
9169
115436
SH
SOLE
0
0
115436
SIRIUS XM HLDGS INC
COM
82968B103
88
15515
SH
SOLE
0
0
15515
SOUTHERN CO
COM
842587107
401
7761
SH
SOLE
0
0
7761
SPDR SERIES TRUST
BLMBRG BRC CNVRT
78464A359
967
18505
SH
SOLE
0
0
18505
SPDR SER TR
BLOMBERG BRC INV
78468R200
726
23662
SH
SOLE
0
0
23662
SPDR GOLD TRUST
GOLD SHS
78463V107
281
2302
SH
SOLE
0
0
2302
SPDR SERIES TRUST
S&P 400 MDCP GRW
78464A821
8377
159416
SH
SOLE
0
0
159416
SPDR S&P 500 ETF TR
TR UNIT
78462F103
6421
22633
SH
SOLE
0
0
22633
SPDR SERIES TRUST
S&P 600 SMCP GRW
78464A201
6411
107384
SH
SOLE
0
0
107384
SPDR SERIES TRUST
S&P DIVID ETF
78464A763
379
3813
SH
SOLE
0
0
3813
SPDR S&P MIDCAP 400 ETF TR
UTSER1 S&PDCRP
78467Y107
338
976
SH
SOLE
0
0
976
SPDR SERIES TRUST
WELLS FG PFD ETF
78464A292
1058
24780
SH
SOLE
0
0
24780
SUN CMNTYS INC
COM
866674104
488
4095
SH
SOLE
0
0
4095
HOME DEPOT INC
COM
437076102
738
3844
SH
SOLE
0
0
3844
VANGUARD INDEX FDS
S&P 500 ETF SHS
922908363
445
1714
SH
SOLE
0
0
1714
VANGUARD WHITEHALL FDS INC
EMERG MKT BD ETF
921946885
798
10196
SH
SOLE
0
0
10196
VANGUARD INDEX FDS
EXTEND MKT ETF
922908652
346
2986
SH
SOLE
0
0
2986
VANGUARD INTL EQUITY INDEX F
FTSE SMCAP ETF
922042718
273
2620
SH
SOLE
0
0
2620
VANGUARD TAX MANAGED INTL FD
FTSE DEV MKT ETF
921943858
520
12680
SH
SOLE
0
0
12680
VANGUARD INTL EQUITY INDEX F
FTSE EMR MKT ETF
922042858
1024
24091
SH
SOLE
0
0
24091
VANGUARD INTL EQUITY INDEX F
GLB EX US ETF
922042676
265
4448
SH
SOLE
0
0
4448
VANGUARD INDEX FDS
GROWTH ETF
922908736
673
4292
SH
SOLE
0
0
4292
VANGUARD INDEX FDS
MCAP VL IDXVIP
922908512
537
4954
SH
SOLE
0
0
4954
VANGUARD INDEX FDS
REAL ESTATE ETF
922908553
626
7152
SH
SOLE
0
0
7152
VANGUARD ADMIRAL FDS INC
500 VAL IDX FD
921932703
750
6896
SH
SOLE
0
0
6896
VANGUARD BD INDEX FD INC
SHORT TRM BOND
921937827
298
3748
SH
SOLE
0
0
3748
VANGUARD SCOTTSDALE FDS
SHRT TRM CORP BD
92206C409
2402
30121
SH
SOLE
0
0
30121
VANGUARD INDEX FDS
SM CP VAL ETF
922908611
317
2450
SH
SOLE
0
0
2450
VANGUARD MUN BD FD INC
TAX EXEMPT BD
922907746
528
10120
SH
SOLE
0
0
10120
VANGUARD BD INDEX FD INC
TOTAL BND MRKT
921937835
694
8555
SH
SOLE
0
0
8555
VANGUARD CHARLOTTE FDS
INTL BD IDX ETF
92203J407
724
12978
SH
SOLE
0
0
12978
VANGUARD INDEX FDS
TOTAL STK MKT
922908769
457
3155
SH
SOLE
0
0
3155
VANGUARD INDEX FDS
VALUE ETF
922908744
339
3128
SH
SOLE
0
0
3128
VERIZON COMMUNICATIONS INC
COM
92343V104
240
4057
SH
SOLE
0
0
4057
VISA INC
COM CL A
92826C839
268
1716
SH
SOLE
0
0
1716
WALMART INC
COM
931142103
2189
22328
SH
SOLE
0
0
22328
DBX ETF TR
XTRACK MSCI EAFE
233051200
1714
54886
SH
SOLE
0
0
54886