Executive Vice President

0001062993-20-001900.txt : 20200423 0001062993-20-001900.hdr.sgml : 20200423 20200422205152 ACCESSION NUMBER: 0001062993-20-001900 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200423 DATE AS OF CHANGE: 20200422 EFFECTIVENESS DATE: 20200423 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: 20808987 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 03-31-2020 03-31-2020 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 04-14-2020 0 140 215405 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE ABERDEEN STD GOLD ETF TR PHYSCL GOLD SHS 00326A104 177 11701 SH SOLE 0 0 11701 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 202 1039 SH SOLE 0 0 1039 AMAZON COM INC COM 023135106 1571 806 SH SOLE 0 0 806 APPLE INC COM 037833100 2106 8280 SH SOLE 0 0 8280 AT&T INC COM 00206R102 474 16263 SH SOLE 0 0 16263 AZURRX BIOPHARMA INC COM 05502L105 29 50000 SH SOLE 0 0 50000 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 786 4300 SH SOLE 0 0 4300 CAMBRIA ETF TR GLOBAL VALUE ETF 132061409 362 23402 SH SOLE 0 0 23402 CELLCOM ISRAEL LTD SHS M2196U109 32 10825 SH SOLE 0 0 10825 CHEVRON CORP NEW COM 166764100 600 8281 SH SOLE 0 0 8281 CISCO SYS INC COM 17275R102 316 8039 SH SOLE 0 0 8039 COMSTOCK RES INC COM 205768302 146 27000 SH SOLE 0 0 27000 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 286 5258 SH SOLE 0 0 5258 DANAHER CORPORATION COM 235851102 351 2531 SH SOLE 0 0 2531 DENBURY RES INC COM NEW 247916208 4 20000 SH SOLE 0 0 20000 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 246 53524 SH SOLE 0 0 53524 EXXON MOBIL CORP COM 30231G102 299 7872 SH SOLE 0 0 7872 FACEBOOK INC CL A 30303M102 231 1385 SH SOLE 0 0 1385 FIRST TR EXCHANGE TRADED FD CONSUMR STAPLE 33734X119 225 5635 SH SOLE 0 0 5635 FIRST TR EXCHANGE-TRADED FD DORSEY WRT 5 ETF 33738R605 372 14463 SH SOLE 0 0 14463 FIRST TR EXCHANGE-TRADED FD DJ INTERNT IDX 33733E302 333 2694 SH SOLE 0 0 2694 FIRST TR EXCH TRADED FD III MANAGD MUN ETF 33739N108 239 4425 SH SOLE 0 0 4425 FIRST TR EXCH TRADED FD III PFD SECS INC ETF 33739E108 298 18179 SH SOLE 0 0 18179 FIRST TR EXCHANGE-TRADED FD SSI STRG ETF 33739Q507 204 7150 SH SOLE 0 0 7150 FIRST TR EXCHANGE TRADED FD US EQTY OPPT ETF 336920103 234 3720 SH SOLE 0 0 3720 FORD MTR CO DEL COM 345370860 103 21224 SH SOLE 0 0 21224 FS KKR CAPITAL CORP COM 302635107 80 25041 SH SOLE 0 0 25041 GENERAL ELECTRIC CO COM 369604103 97 12218 SH SOLE 0 0 12218 GOLDMAN SACHS ETF TR ACTIVEBETA US LG 381430503 3076 58941 SH SOLE 0 0 58941 INVESCO EXCH TRD SLF IDX FD BULSHS 2022 CB 46138J882 6636 313331 SH SOLE 0 0 313331 INVESCO EXCHANGE TRADED FD T FTSE RAFI 1000 46137V613 6991 75625 SH SOLE 0 0 75625 INVESCO EXCHANGE-TRADED FD T PFD ETF 46138E511 223 16981 SH SOLE 0 0 16981 INVESCO QQQ TR UNIT SER 1 46090E103 2093 10971 SH SOLE 0 0 10971 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 628 7480 SH SOLE 0 0 7480 INVESCO EXCHANGE TRADED FD T S&P 500 TOP 50 46137V233 388 1986 SH SOLE 0 0 1986 INDEXIQ ETF TR IQ MRGR ARB ETF 45409B800 829 27506 SH SOLE 0 0 27506 ISHARES TR 0-5YR INVT GR CP 46434V100 14327 285734 SH SOLE 0 0 285734 ISHARES TR 1 3 YR TREAS BD 464287457 3038 35056 SH SOLE 0 0 35056 ISHARES TR 20 YR TR BD ETF 464287432 3528 21385 SH SOLE 0 0 21385 ISHARES TR 3 7 YR TREAS BD 464288661 2394 17956 SH SOLE 0 0 17956 ISHARES TR BARCLAYS 7 10 YR 464287440 1756 14452 SH SOLE 0 0 14452 ISHARES TR CORE DIV GRWTH 46434V621 495 15174 SH SOLE 0 0 15174 ISHARES TR CORE MSCI EAFE 46432F842 4611 92429 SH SOLE 0 0 92429 ISHARES INC CORE MSCI EMKT 46434G103 761 18805 SH SOLE 0 0 18805 ISHARES TR CORE MSCI TOTAL 46432F834 10591 225302 SH SOLE 0 0 225302 ISHARES TR CORE S&P500 ETF 464287200 2610 10101 SH SOLE 0 0 10101 ISHARES TR CORE S&P SCP ETF 464287804 1929 34382 SH SOLE 0 0 34382 ISHARES TR CORE S&P TTL STK 464287150 514 8989 SH SOLE 0 0 8989 ISHARES TR CORE US AGGBD ET 464287226 505 4374 SH SOLE 0 0 4374 ISHARES TR HDG MSCI EAFE 46434V803 833 34424 SH SOLE 0 0 34424 ISHARES INC MIN VOL EMRG MKT 464286533 3085 65742 SH SOLE 0 0 65742 ISHARES INC MIN VOL GBL ETF 464286525 1157 14400 SH SOLE 0 0 14400 ISHARES TR MSCI MIN VOL ETF 46429B697 3477 64374 SH SOLE 0 0 64374 ISHARES TR USA MOMENTUM FCT 46432F396 1090 10232 SH SOLE 0 0 10232 ISHARES TR USA QUALITY FCTR 46432F339 316 3901 SH SOLE 0 0 3901 ISHARES TR ESG MSCI USA ETF 46435G425 335 5827 SH SOLE 0 0 5827 ISHARES TR ESG US AGR BD 46435U549 241 4357 SH SOLE 0 0 4357 ISHARES TR FLTG RATE NT ETF 46429B655 314 6438 SH SOLE 0 0 6438 ISHARES TR IBOXX HI YD ETF 464288513 295 3832 SH SOLE 0 0 3832 ISHARES TR MBS ETF 464288588 313 2831 SH SOLE 0 0 2831 ISHARES TR MRGSTR MD CP ETF 464288208 386 2518 SH SOLE 0 0 2518 ISHARES TR MSCI EAFE ETF 464287465 1525 28533 SH SOLE 0 0 28533 ISHARES TR EAFE VALUE ETF 464288877 300 8404 SH SOLE 0 0 8404 ISHARES INC MSCI FRNTR100ETF 464286145 527 24661 SH SOLE 0 0 24661 ISHARES TR NATIONAL MUN ETF 464288414 685 6065 SH SOLE 0 0 6065 ISHARES TR RUS 1000 GRW ETF 464287614 899 5965 SH SOLE 0 0 5965 ISHARES TR RUS 1000 VAL ETF 464287598 470 4741 SH SOLE 0 0 4741 ISHARES TR S&P 500 GRWT ETF 464287309 13896 84191 SH SOLE 0 0 84191 ISHARES TR S&P 500 VAL ETF 464287408 1418 14727 SH SOLE 0 0 14727 ISHARES TR S&P MC 400GR ETF 464287606 12904 72308 SH SOLE 0 0 72308 ISHARES TR S&P MC 400VL ETF 464287705 801 7295 SH SOLE 0 0 7295 ISHARES TR S&P SML 600 GWT 464287887 15033 109043 SH SOLE 0 0 109043 ISHARES TR SP SMCP600VL ETF 464287879 585 5855 SH SOLE 0 0 5855 ISHARES TR SELECT DIVID ETF 464287168 205 2782 SH SOLE 0 0 2782 ISHARES U S ETF TR SHT MAT BD ETF 46431W507 422 8690 SH SOLE 0 0 8690 ISHARES TR SHORT TREAS BD 464288679 205 1851 SH SOLE 0 0 1851 ISHARES TR TIPS BD ETF 464287176 233 1977 SH SOLE 0 0 1977 ISHARES TR INTRM TR CRP ETF 464288638 461 8403 SH SOLE 0 0 8403 ISHARES TR US AER DEF ETF 464288760 211 1467 SH SOLE 0 0 1467 ISHARES TR US TREAS BD ETF 46429B267 521 18575 SH SOLE 0 0 18575 JOHNSON & JOHNSON COM 478160104 334 2549 SH SOLE 0 0 2549 LOCKHEED MARTIN CORP COM 539830109 242 714 SH SOLE 0 0 714 MICROSOFT CORP COM 594918104 605 3837 SH SOLE 0 0 3837 MURPHY OIL CORP COM 626717102 73 11900 SH SOLE 0 0 11900 NEW RESIDENTIAL INVT CORP COM NEW 64828T201 76 15163 SH SOLE 0 0 15163 NEW SR INVT GROUP INC COM 648691103 33 12926 SH SOLE 0 0 12926 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 79 15000 SH SOLE 0 0 15000 PROSHARES TR ONLINE RTL ETF 74347B169 205 6176 SH SOLE 0 0 6176 PROSHARES TR PSHS ULT S&P 500 74347R107 355 3981 SH SOLE 0 0 3981 PROSHARES TR ULTRPRO DOW30 74347X823 275 6575 SH SOLE 0 0 6575 REGIONS FINANCIAL CORP NEW COM 7591EP100 104 11383 SH SOLE 0 0 11383 RELMADA THERAPEUTICS INC COM 75955J402 478 14000 SH SOLE 0 0 14000 SALESFORCE COM INC COM 79466L302 231 1606 SH SOLE 0 0 1606 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 5918 229035 SH SOLE 0 0 229035 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 6309 121965 SH SOLE 0 0 121965 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 229 3747 SH SOLE 0 0 3747 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 7625 95734 SH SOLE 0 0 95734 SIRIUS XM HLDGS INC COM 82968B103 77 15492 SH SOLE 0 0 15492 SPDR SER TR BLMBRG BRC CNVRT 78464A359 869 18149 SH SOLE 0 0 18149 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 645 2936 SH SOLE 0 0 2936 SPDR GOLD TRUST GOLD SHS 78463V107 445 3006 SH SOLE 0 0 3006 SPDR SER TR S&P 400 MDCP GRW 78464A821 7429 173491 SH SOLE 0 0 173491 SPDR S&P 500 ETF TR TR UNIT 78462F103 7221 27864 SH SOLE 0 0 27864 SPDR SER TR S&P 600 SMCP GRW 78464A201 8835 191325 SH SOLE 0 0 191325 SPDR SER TR S&P DIVID ETF 78464A763 283 3547 SH SOLE 0 0 3547 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 238 900 SH SOLE 0 0 900 SPDR SER TR WELLS FG PFD ETF 78464A292 971 24780 SH SOLE 0 0 24780 STRATEGY SHS NEWFOUND RESLV 86280R886 1432 67995 SH SOLE 0 0 67995 SUN CMNTYS INC COM 866674104 518 4126 SH SOLE 0 0 4126 TESLA INC COM 88160R101 324 618 SH SOLE 0 0 618 HOME DEPOT INC COM 437076102 520 2785 SH SOLE 0 0 2785 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 638 2696 SH SOLE 0 0 2696 VANGUARD WHITEHALL FDS EMERG MKT BD ETF 921946885 827 11750 SH SOLE 0 0 11750 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 247 3161 SH SOLE 0 0 3161 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 587 17609 SH SOLE 0 0 17609 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 856 25500 SH SOLE 0 0 25500 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 280 6515 SH SOLE 0 0 6515 VANGUARD INDEX FDS GROWTH ETF 922908736 703 4487 SH SOLE 0 0 4487 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 222 1338 SH SOLE 0 0 1338 VANGUARD SCOTTSDALE FDS INTER TERM TREAS 92206C706 1676 23751 SH SOLE 0 0 23751 VANGUARD BD INDEX FDS LONG TERM BOND 921937793 265 2487 SH SOLE 0 0 2487 VANGUARD WORLD FD MEGA CAP VAL ETF 921910840 252 3814 SH SOLE 0 0 3814 VANGUARD INDEX FDS MID CAP ETF 922908629 956 7262 SH SOLE 0 0 7262 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 343 4221 SH SOLE 0 0 4221 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 339 6214 SH SOLE 0 0 6214 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 1039 14881 SH SOLE 0 0 14881 VANGUARD ADMIRAL FDS INC 500 VAL IDX FD 921932703 636 6819 SH SOLE 0 0 6819 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 927 11281 SH SOLE 0 0 11281 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 1902 24045 SH SOLE 0 0 24045 VANGUARD INDEX FDS SMALL CP ETF 922908751 617 5347 SH SOLE 0 0 5347 VANGUARD INDEX FDS SM CP VAL ETF 922908611 294 3311 SH SOLE 0 0 3311 VANGUARD MUN BD FD INC TAX EXEMPT BD 922907746 437 8264 SH SOLE 0 0 8264 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 890 10430 SH SOLE 0 0 10430 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 949 16861 SH SOLE 0 0 16861 VANGUARD INDEX FDS TOTAL STK MKT 922908769 554 4298 SH SOLE 0 0 4298 VANGUARD WORLD FDS UTILITIES ETF 92204A876 210 1718 SH SOLE 0 0 1718 VANGUARD INDEX FDS VALUE ETF 922908744 585 6566 SH SOLE 0 0 6566 VERIZON COMMUNICATIONS INC COM 92343V104 233 4333 SH SOLE 0 0 4333 VISA INC COM CL A 92826C839 296 1839 SH SOLE 0 0 1839 DBX ETF TR XTRACK MSCI EAFE 233051200 3194 119189 SH SOLE 0 0 119189