Executive Vice President

0001062993-19-004314.txt : 20191112 0001062993-19-004314.hdr.sgml : 20191112 20191112135723 ACCESSION NUMBER: 0001062993-19-004314 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191112 DATE AS OF CHANGE: 20191112 EFFECTIVENESS DATE: 20191112 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: 191208450 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 09-30-2019 09-30-2019 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 11-12-2019 0 155 233301 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE ACCENTURE PLC IRELAND SHS CLASS A G1151C101 208 1079 SH SOLE 0 0 1079 ALPS ETF TR ALERIAN MLP 00162Q866 150 16380 SH SOLE 0 0 16380 ALPHA ARCHITECT ETF TR VAL MOMTM TRND 02072L508 865 36772 SH SOLE 0 0 36772 ALPHABET INC CAP STK CL A 02079K305 237 194 SH SOLE 0 0 194 AMAZON COM INC COM 023135106 1521 876 SH SOLE 0 0 876 ANNALY CAP MGMT INC COM 035710409 106 11746 SH SOLE 0 0 11746 APPLE INC COM 037833100 1791 7995 SH SOLE 0 0 7995 AT&T INC COM 00206R102 672 17767 SH SOLE 0 0 17767 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 727 3494 SH SOLE 0 0 3494 BLACKROCK FLOAT RATE OME STR COM 09255X100 133 10546 SH SOLE 0 0 10546 BLACKSTONE GROUP INC COM CL A 09260D107 256 5245 SH SOLE 0 0 5245 BOEING CO COM 097023105 374 984 SH SOLE 0 0 984 CAMBRIA ETF TR GLB MOMENT ETF 132061508 969 37974 SH SOLE 0 0 37974 CAMBRIA ETF TR GLOBAL VALUE ETF 132061409 353 15623 SH SOLE 0 0 15623 CELLCOM ISRAEL LTD SHS M2196U109 30 10825 SH SOLE 0 0 10825 CHEVRON CORP NEW COM 166764100 1047 8830 SH SOLE 0 0 8830 CISCO SYS INC COM 17275R102 522 10559 SH SOLE 0 0 10559 COMSTOCK RES INC COM 205768302 171 22000 SH SOLE 0 0 22000 COVIA HLDGS CORP COM 22305A103 30 15000 SH SOLE 0 0 15000 DANAHER CORPORATION COM 235851102 362 2504 SH SOLE 0 0 2504 DENBURY RES INC COM NEW 247916208 52 43500 SH SOLE 0 0 43500 ENBRIDGE INC COM 29250N105 223 6355 SH SOLE 0 0 6355 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 241 18460 SH SOLE 0 0 18460 EVERGY INC COM 30034W106 216 3244 SH SOLE 0 0 3244 EXXON MOBIL CORP COM 30231G102 226 3198 SH SOLE 0 0 3198 FACEBOOK INC CL A 30303M102 249 1401 SH SOLE 0 0 1401 FIDELITY COVINGTON TR MOMENTUM FACTR 316092816 328 9381 SH SOLE 0 0 9381 FIDELITY COVINGTON TR MSCI COMMNTN SVC 316092873 304 9191 SH SOLE 0 0 9191 FIDELITY COVINGTON TR CONSMR STAPLES 316092303 337 9205 SH SOLE 0 0 9205 FIDELITY COVINGTON TR MSCI HLTH CARE I 316092600 253 5832 SH SOLE 0 0 5832 FIDELITY COVINGTON TR MSCI INFO TECH I 316092808 319 5003 SH SOLE 0 0 5003 FIRST TR EXCHANGE TRADED FD CONSUMR STAPLE 33734X119 284 5867 SH SOLE 0 0 5867 FIRST TR EXCHANGE TRADED FD DORSEY WRT 5 ETF 33738R605 414 13978 SH SOLE 0 0 13978 FIRST TR EXCHANGE TRADED FD DJ INTERNT IDX 33733E302 405 3006 SH SOLE 0 0 3006 FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 281 8819 SH SOLE 0 0 8819 FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 353 5798 SH SOLE 0 0 5798 FIRST TR MID CAP CORE ALPHAD COM SHS 33735B108 260 3854 SH SOLE 0 0 3854 FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 350 17753 SH SOLE 0 0 17753 FIRST TR EXCHANGE TRADED FD US EQTY OPPT ETF 336920103 286 3770 SH SOLE 0 0 3770 FORD MTR CO DEL COM 345370860 196 21391 SH SOLE 0 0 21391 FS KKR CAPITAL CORP COM 302635107 183 30434 SH SOLE 0 0 30434 GABELLI DIVD & INCOME TR COM 36242H104 244 11350 SH SOLE 0 0 11350 GENERAL ELECTRIC CO COM 369604103 201 22414 SH SOLE 0 0 22414 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 201 4657 SH SOLE 0 0 4657 INVESCO EXCH TRD SLF IDX FD BULSHS 2022 CB 46138J882 8467 394013 SH SOLE 0 0 394013 INVESCO EXCHANGE TRADED FD T FTSE RAFI 1000 46137V613 4091 34710 SH SOLE 0 0 34710 INVESCO EXCHNG TRADED FD TR PFD ETF 46138E511 247 16450 SH SOLE 0 0 16450 INVESCO QQQ TR UNIT SER 1 46090E103 1630 8615 SH SOLE 0 0 8615 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 841 7780 SH SOLE 0 0 7780 INVESCO EXCHNG TRADED FD TR S&P500 LOW VOL 46138E354 203 3512 SH SOLE 0 0 3512 INVESCO EXCHANGE TRADED FD T S&P 500 TOP 50 46137V233 424 1995 SH SOLE 0 0 1995 INDEXIQ ETF TR IQ MRGR ARB ETF 45409B800 640 19967 SH SOLE 0 0 19967 ISHARES TR 0-5YR INVT GR CP 46434V100 18299 357824 SH SOLE 0 0 357824 ISHARES TR 1 3 YR TREAS BD 464287457 7018 82734 SH SOLE 0 0 82734 ISHARES TR CORE 1 5 YR USD 46432F859 380 7522 SH SOLE 0 0 7522 ISHARES TR CORE MSCI EAFE 46432F842 2268 37133 SH SOLE 0 0 37133 ISHARES TR CORE MSCI TOTAL 46432F834 14597 252720 SH SOLE 0 0 252720 ISHARES TR CORE S&P500 ETF 464287200 916 3068 SH SOLE 0 0 3068 ISHARES TR CORE S&P MCP ETF 464287507 221 1144 SH SOLE 0 0 1144 ISHARES TR CORE S&P SCP ETF 464287804 1176 15103 SH SOLE 0 0 15103 ISHARES TR CORE S&P TTL STK 464287150 722 10769 SH SOLE 0 0 10769 ISHARES TR CORE US AGGBD ET 464287226 700 6184 SH SOLE 0 0 6184 ISHARES INC MIN VOL EMRG MKT 464286533 1631 28563 SH SOLE 0 0 28563 ISHARES INC MIN VOL GBL ETF 464286525 1375 14511 SH SOLE 0 0 14511 ISHARES TR MSCI MIN VOL ETF 46429B697 3735 58262 SH SOLE 0 0 58262 ISHARES TR EDGE MSCI MINM 46435G433 669 19484 SH SOLE 0 0 19484 ISHARES TR MULTIFACTOR USA 46434V282 330 10351 SH SOLE 0 0 10351 ISHARES TR USA MOMENTUM FCT 46432F396 925 7758 SH SOLE 0 0 7758 ISHARES TR ESG US AGR BD 46435U549 240 4431 SH SOLE 0 0 4431 ISHARES TR FLTG RATE NT ETF 46429B655 229 4496 SH SOLE 0 0 4496 ISHARES TR IBOXX HI YD ETF 464288513 424 4868 SH SOLE 0 0 4868 ISHARES TR MBS ETF 464288588 343 3165 SH SOLE 0 0 3165 ISHARES TR MRGSTR MD CP ETF 464288208 481 2431 SH SOLE 0 0 2431 ISHARES TR MSCI EAFE ETF 464287465 2239 34337 SH SOLE 0 0 34337 ISHARES TR EAFE VALUE ETF 464288877 386 8155 SH SOLE 0 0 8155 ISHARES INC MSCI FRNTR100ETF 464286145 479 17006 SH SOLE 0 0 17006 ISHARES TR NATIONAL MUN ETF 464288414 557 4878 SH SOLE 0 0 4878 ISHARES TR PFD AND INCM SEC 464288687 334 8887 SH SOLE 0 0 8887 ISHARES TR RUS 1000 GRW ETF 464287614 464 2907 SH SOLE 0 0 2907 ISHARES TR RUS 1000 VAL ETF 464287598 623 4858 SH SOLE 0 0 4858 ISHARES TR RUS MID CAP ETF 464287499 230 4104 SH SOLE 0 0 4104 ISHARES TR S&P 500 GRWT ETF 464287309 307 1705 SH SOLE 0 0 1705 ISHARES TR S&P 500 VAL ETF 464287408 21189 177852 SH SOLE 0 0 177852 ISHARES TR S&P MC 400GR ETF 464287606 367 1640 SH SOLE 0 0 1640 ISHARES TR S&P MC 400VL ETF 464287705 21890 136897 SH SOLE 0 0 136897 ISHARES TR SP SMCP600VL ETF 464287879 15386 102445 SH SOLE 0 0 102445 ISHARES TR SELECT DIVID ETF 464287168 271 2661 SH SOLE 0 0 2661 ISHARES US ETF TR SHT MAT BD ETF 46431W507 403 8010 SH SOLE 0 0 8010 ISHARES SILVER TRUST ISHARES 46428Q109 163 10262 SH SOLE 0 0 10262 ISHARES TR TIPS BD ETF 464287176 367 3153 SH SOLE 0 0 3153 ISHARES TR US AER DEF ETF 464288760 349 1551 SH SOLE 0 0 1551 ISHARES TR US TREAS BD ETF 46429B267 343 13011 SH SOLE 0 0 13011 JOHNSON & JOHNSON COM 478160104 292 2258 SH SOLE 0 0 2258 LOCKHEED MARTIN CORP COM 539830109 289 742 SH SOLE 0 0 742 MERCK & CO INC COM 58933Y105 246 2905 SH SOLE 0 0 2905 MICROSOFT CORP COM 594918104 709 5101 SH SOLE 0 0 5101 NEW SR INVT GROUP INC COM 648691103 84 12600 SH SOLE 0 0 12600 NUVEEN CALIFORNIA AMT QLT MU COM 670651108 348 22965 SH SOLE 0 0 22965 NUVEEN CA QUALTY MUN INCOME COM 67066Y105 262 17390 SH SOLE 0 0 17390 NUVEEN FLOATING RATE INCOME COM 67072T108 114 11683 SH SOLE 0 0 11683 NUVEEN FLTNG RTE INCM OPP FD COM SHS 6706EN100 133 13900 SH SOLE 0 0 13900 PEPSICO INC COM 713448108 201 1464 SH SOLE 0 0 1464 PIMCO DYNMIC CREDIT AND MRT COM SHS 72202D106 221 8980 SH SOLE 0 0 8980 PIMCO INCOME OPPORTUNITY FD COM 72202B100 255 9515 SH SOLE 0 0 9515 PIMCO STRATEGIC INCOME FD IN COM 72200X104 105 11231 SH SOLE 0 0 11231 REGIONS FINL CORP NEW COM 7591EP100 182 11383 SH SOLE 0 0 11383 ROYAL BK CDA MONTREAL QUE COM 780087102 251 3092 SH SOLE 0 0 3092 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 7086 222407 SH SOLE 0 0 222407 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 6694 132315 SH SOLE 0 0 132315 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 238 3354 SH SOLE 0 0 3354 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 1201 14290 SH SOLE 0 0 14290 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 8807 155240 SH SOLE 0 0 155240 SIRIUS XM HLDGS INC COM 82968B103 97 15465 SH SOLE 0 0 15465 SOUTHERN CO COM 842587107 310 5015 SH SOLE 0 0 5015 SPDR SERIES TRUST BLMBRG BRC CNVRT 78464A359 937 17868 SH SOLE 0 0 17868 SPDR SERIES TRUST BLOOMBERG BRCLYS 78468R622 375 3450 SH SOLE 0 0 3450 SPDR SERIES TRUST BLOMBERG BRC INV 78468R200 666 21662 SH SOLE 0 0 21662 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 648 2400 SH SOLE 0 0 2400 SPDR GOLD TRUST GOLD SHS 78463V107 383 2758 SH SOLE 0 0 2758 SPDR SERIES TRUST S&P 400 MDCP GRW 78464A821 1065 19820 SH SOLE 0 0 19820 SPDR SERIES TRUST S&P 400 MDCP VAL 78464A839 9179 178858 SH SOLE 0 0 178858 SPDR S&P 500 ETF TR TR UNIT 78462F103 6676 22390 SH SOLE 0 0 22390 SPDR SERIES TRUST S&P 600 SMCP GRW 78464A201 812 13621 SH SOLE 0 0 13621 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 6424 104860 SH SOLE 0 0 104860 SPDR SERIES TRUST S&P DIVID ETF 78464A763 349 3401 SH SOLE 0 0 3401 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 341 965 SH SOLE 0 0 965 SPDR SERIES TRUST WELLS FG PFD ETF 78464A292 1094 24780 SH SOLE 0 0 24780 SUN CMNTYS INC COM 866674104 610 4090 SH SOLE 0 0 4090 HOME DEPOT INC COM 437076102 896 3862 SH SOLE 0 0 3862 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 543 1984 SH SOLE 0 0 1984 VANGUARD WHITEHALL FDS INC EMERG MKT BD ETF 921946885 820 10178 SH SOLE 0 0 10178 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 227 1951 SH SOLE 0 0 1951 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 314 3076 SH SOLE 0 0 3076 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 488 11885 SH SOLE 0 0 11885 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 971 24114 SH SOLE 0 0 24114 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 260 4445 SH SOLE 0 0 4445 VANGUARD INDEX FDS GROWTH ETF 922908736 620 3728 SH SOLE 0 0 3728 VANGUARD WORLD FD MEGA CAP VAL ETF 921910840 241 2961 SH SOLE 0 0 2961 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 485 4289 SH SOLE 0 0 4289 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 773 8292 SH SOLE 0 0 8292 VANGUARD ADMIRAL FDS INC 500 VAL IDX FD 921932703 740 6402 SH SOLE 0 0 6402 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 296 3661 SH SOLE 0 0 3661 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 2443 30142 SH SOLE 0 0 30142 VANGUARD INDEX FDS SM CP VAL ETF 922908611 399 3093 SH SOLE 0 0 3093 VANGUARD MUN BD FD INC TAX EXEMPT BD 922907746 543 10120 SH SOLE 0 0 10120 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 905 10719 SH SOLE 0 0 10719 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 837 14235 SH SOLE 0 0 14235 VANGUARD INDEX FDS TOTAL STK MKT 922908769 651 4311 SH SOLE 0 0 4311 VANGUARD WORLD FDS UTILITIES ETF 92204A876 294 2033 SH SOLE 0 0 2033 VANGUARD INDEX FDS VALUE ETF 922908744 419 3757 SH SOLE 0 0 3757 VERIZON COMMUNICATIONS INC COM 92343V104 328 5441 SH SOLE 0 0 5441 VISA INC COM CL A 92826C839 269 1566 SH SOLE 0 0 1566 WALMART INC COM 931142103 2331 19644 SH SOLE 0 0 0 WELLS FARGO CO NEW COM 949746101 245 8042 SH SOLE 0 0 0 DBX ETF TR XTRACK MSCI EAFE 233051200 1780 55052 SH SOLE 0 0 0