Executive Vice President

0001062993-20-005613.txt : 20201113 0001062993-20-005613.hdr.sgml : 20201113 20201113124642 ACCESSION NUMBER: 0001062993-20-005613 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201113 DATE AS OF CHANGE: 20201113 EFFECTIVENESS DATE: 20201113 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: 201310311 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 09-30-2020 09-30-2020 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 11-13-2020 0 174 292169 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE ABBOTT LABS COM 002824100 207 1900 SH SOLE 0 0 1900 ABERDEEN STD GOLD ETF TR PHYSCL GOLD SHS 00326A104 275 15127 SH SOLE 0 0 15127 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 242 1072 SH SOLE 0 0 1072 ALPHABET INC CAP STK CL A 02079K305 268 183 SH SOLE 0 0 183 AMAZON COM INC COM 023135106 2428 771 SH SOLE 0 0 771 AMGEN INC COM 031162100 513 2020 SH SOLE 0 0 2020 APPLE INC COM 037833100 4104 35441 SH SOLE 0 0 35441 ARK ETF TR GENOMIC REV ETF 00214Q302 271 4246 SH SOLE 0 0 4246 AT&T INC COM 00206R102 507 17796 SH SOLE 0 0 17796 AZURRX BIOPHARMA INC COM 05502L105 57 80000 SH SOLE 0 0 80000 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1261 5920 SH SOLE 0 0 5920 BLACKROCK MUNIENHANCED FD IN COM 09253Y100 222 19601 SH SOLE 0 0 19601 BOEING CO COM 097023105 297 1800 SH SOLE 0 0 1800 CHEVRON CORP NEW COM 166764100 642 8923 SH SOLE 0 0 8923 CISCO SYS INC COM 17275R102 550 13958 SH SOLE 0 0 13958 COMSTOCK RES INC COM 205768302 153 35000 SH SOLE 0 0 35000 DANAHER CORPORATION COM 235851102 558 2587 SH SOLE 0 0 2587 ENBRIDGE INC COM 29250N105 202 6912 SH SOLE 0 0 6912 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 361 66524 SH SOLE 0 0 66524 EXXON MOBIL CORP COM 30231G102 322 9372 SH SOLE 0 0 9372 FACEBOOK INC CL A 30303M102 293 1117 SH SOLE 0 0 1117 FIDELITY COVINGTON TRUST MSCI MATLS INDEX 316092881 204 5953 SH SOLE 0 0 5953 FIRST TR EXCHANGE TRADED FD CONSUMR STAPLE 33734X119 265 5508 SH SOLE 0 0 5508 FIRST TR EXCHANGE-TRADED FD DORSEY WRT 5 ETF 33738R605 510 14933 SH SOLE 0 0 14933 FIRST TR EXCHANGE-TRADED FD DJ INTERNT IDX 33733E302 549 2916 SH SOLE 0 0 2916 FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 211 8308 SH SOLE 0 0 8308 FIRST TR EXCH TRADED FD III MANAGD MUN ETF 33739N108 246 4425 SH SOLE 0 0 4425 FIRST TR EXCH TRADED FD III PFD SECS INC ETF 33739E108 197 10285 SH SOLE 0 0 10285 FIRST TR EXCHANGE-TRADED FD SSI STRG ETF 33739Q507 288 7150 SH SOLE 0 0 7150 FIRST TR EXCHANGE TRADED FD US EQTY OPPT ETF 336920103 359 3710 SH SOLE 0 0 3710 FORD MTR CO DEL COM 345370860 141 21224 SH SOLE 0 0 21224 GENERAL ELECTRIC CO COM 369604103 139 22218 SH SOLE 0 0 22218 GOLDMAN SACHS ETF TR ACTIVEBETA US LG 381430503 1988 29218 SH SOLE 0 0 29218 INNOVATOR ETFS TR S&P 500 PWR 45782C813 1952 70547 SH SOLE 0 0 70547 INNOVATOR ETFS TR S&P 500 PWR BU 45782C748 266 9145 SH SOLE 0 0 9145 INNOVATOR ETFS TR S&P 500 PWRETF 45782C797 220 8340 SH SOLE 0 0 8340 INNOVATOR ETFS TR S&P 500 POWER 45782C417 2065 81736 SH SOLE 0 0 81736 INVESCO EXCH TRD SLF IDX FD BULSHS 2022 CB 46138J882 6592 301813 SH SOLE 0 0 301813 INVESCO EXCHANGE TRADED FD T FTSE RAFI 1000 46137V613 6947 61049 SH SOLE 0 0 61049 INVESCO EXCH TRADED FD TR II PFD ETF 46138E511 258 17511 SH SOLE 0 0 17511 INVESCO QQQ TR UNIT SER 1 46090E103 2930 10530 SH SOLE 0 0 10530 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 783 7246 SH SOLE 0 0 7246 INVESCO EXCHANGE TRADED FD T S&P 500 TOP 50 46137V233 515 1967 SH SOLE 0 0 1967 INVESCO EXCHANGE TRADED FD T S&P MDCP MOMNTUM 46137V464 448 6765 SH SOLE 0 0 6765 ISHARES TR 0-5YR HI YL CP 46434V407 223 5064 SH SOLE 0 0 5064 ISHARES TR 0-5YR INVT GR CP 46434V100 13679 262459 SH SOLE 0 0 262459 ISHARES TR 0-5 YR TIPS ETF 46429B747 1022 9826 SH SOLE 0 0 9826 ISHARES TR 1 3 YR TREAS BD 464287457 3929 45417 SH SOLE 0 0 45417 ISHARES TR 20 YR TR BD ETF 464287432 1363 8351 SH SOLE 0 0 8351 ISHARES TR 3 7 YR TREAS BD 464288661 927 6939 SH SOLE 0 0 6939 ISHARES TR BARCLAYS 7 10 YR 464287440 698 5732 SH SOLE 0 0 5732 ISHARES TR CORE 1 5 YR USD 46432F859 207 4025 SH SOLE 0 0 4025 ISHARES TR CORE DIV GRWTH 46434V621 604 15183 SH SOLE 0 0 15183 ISHARES TR CORE MSCI EAFE 46432F842 2906 48203 SH SOLE 0 0 48203 ISHARES TR CORE MSCI TOTAL 46432F834 12930 221625 SH SOLE 0 0 221625 ISHARES TR CORE S&P500 ETF 464287200 3203 9532 SH SOLE 0 0 9532 ISHARES TR CORE S&P SCP ETF 464287804 4150 59096 SH SOLE 0 0 59096 ISHARES TR CORE S&P TTL STK 464287150 698 9241 SH SOLE 0 0 9241 ISHARES TR CORE US AGGBD ET 464287226 814 6891 SH SOLE 0 0 6891 ISHARES INC MSCI GBL MIN VOL 464286525 2527 27497 SH SOLE 0 0 27497 ISHARES TR MSCI USA MIN VOL 46429B697 3727 58476 SH SOLE 0 0 58476 ISHARES INC ESG AWR MSCI EM 46434G863 239 6716 SH SOLE 0 0 6716 ISHARES TR ESG AWR MSCI USA 46435G425 557 7310 SH SOLE 0 0 7310 ISHARES TR ESG AWR US AGRGT 46435U549 202 3584 SH SOLE 0 0 3584 ISHARES TR FLTG RATE NT ETF 46429B655 247 4870 SH SOLE 0 0 4870 ISHARES TR GNMA BOND ETF 46429B333 364 7113 SH SOLE 0 0 7113 ISHARES GOLD TRUST ISHARES 464285105 302 16811 SH SOLE 0 0 16811 ISHARES TR IBOXX HI YD ETF 464288513 421 5022 SH SOLE 0 0 5022 ISHARES TR IBOXX INV CP ETF 464287242 855 6347 SH SOLE 0 0 6347 ISHARES TR MRGSTR MD CP ETF 464288208 409 2040 SH SOLE 0 0 2040 ISHARES TR EAFE GRWTH ETF 464288885 419 4665 SH SOLE 0 0 4665 ISHARES TR EAFE VALUE ETF 464288877 388 9626 SH SOLE 0 0 9626 ISHARES INC MSCI EMERG MRKT 464286533 3027 54859 SH SOLE 0 0 54859 ISHARES TR MSCI USA MMENTM 46432F396 1844 12509 SH SOLE 0 0 12509 ISHARES TR MSCI USA MULTIFT 46434V282 5671 170808 SH SOLE 0 0 170808 ISHARES TR MSCI USA QLT FCT 46432F339 202 1950 SH SOLE 0 0 1950 ISHARES TR NATIONAL MUN ETF 464288414 1077 9293 SH SOLE 0 0 9293 ISHARES TR RUS 1000 GRW ETF 464287614 1624 7486 SH SOLE 0 0 7486 ISHARES TR RUS 1000 VAL ETF 464287598 565 4785 SH SOLE 0 0 4785 ISHARES TR RUS MID CAP ETF 464287499 1467 25567 SH SOLE 0 0 25567 ISHARES TR S&P 500 GRWT ETF 464287309 21175 91637 SH SOLE 0 0 91637 ISHARES TR S&P 500 VAL ETF 464287408 234 2081 SH SOLE 0 0 2081 ISHARES TR S&P MC 400GR ETF 464287606 19298 80684 SH SOLE 0 0 80684 ISHARES TR S&P SML 600 GWT 464287887 20958 118780 SH SOLE 0 0 118780 ISHARES TR SELECT DIVID ETF 464287168 203 2493 SH SOLE 0 0 2493 ISHARES U S ETF TR SHT MAT BD ETF 46431W507 1663 33190 SH SOLE 0 0 33190 ISHARES SILVER TR ISHARES 46428Q109 248 11459 SH SOLE 0 0 11459 ISHARES TR TIPS BD ETF 464287176 253 2002 SH SOLE 0 0 2002 ISHARES TR ISHS 5-10YR INVT 464288638 497 8181 SH SOLE 0 0 8181 ISHARES TR ISHS 1-5YR INVS 464288646 831 15126 SH SOLE 0 0 15126 ISHARES TR US AER DEF ETF 464288760 225 1418 SH SOLE 0 0 1418 ISHARES TR U.S. MED DVC ETF 464288810 261 870 SH SOLE 0 0 870 ISHARES TR US TREAS BD ETF 46429B267 794 28416 SH SOLE 0 0 28416 JOHNSON & JOHNSON COM 478160104 375 2518 SH SOLE 0 0 2518 JPMORGAN CHASE & CO COM 46625H100 264 2745 SH SOLE 0 0 2745 LOCKHEED MARTIN CORP COM 539830109 337 880 SH SOLE 0 0 880 MICROSOFT CORP COM 594918104 652 3102 SH SOLE 0 0 3102 MONTROSE ENVIRONMENTAL GROUP COM 615111101 207 8675 SH SOLE 0 0 8675 MURPHY OIL CORP COM 626717102 254 28448 SH SOLE 0 0 28448 NEW RESIDENTIAL INVT CORP COM NEW 64828T201 121 15163 SH SOLE 0 0 15163 NEW SR INVT GROUP INC COM 648691103 52 12937 SH SOLE 0 0 12937 NUVEEN CALIFORNIA AMT QLT MU COM 670651108 349 22745 SH SOLE 0 0 22745 NUVEEN CA QUALTY MUN INCOME COM 67066Y105 270 18510 SH SOLE 0 0 18510 OSI ETF TR OSHS GBL INTER 67110P704 429 9737 SH SOLE 0 0 9737 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 770 7556 SH SOLE 0 0 7556 PIMCO INCOME OPPORTUNITY FD COM 72202B100 312 13412 SH SOLE 0 0 13412 PIMCO INCOME STRATEGY FD COM 72201H108 128 12584 SH SOLE 0 0 12584 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 90 15000 SH SOLE 0 0 15000 PROSHARES TR ONLINE RTL ETF 74347B169 368 5857 SH SOLE 0 0 5857 PROSHARES TR PSHS ULT S&P 500 74347R107 437 5950 SH SOLE 0 0 5950 PROSHARES TR ULTRPRO DOW30 74347X823 694 8919 SH SOLE 0 0 0 REGIONS FINANCIAL CORP NEW COM 7591EP100 129 11036 SH SOLE 0 0 0 RELMADA THERAPEUTICS INC COM 75955J402 621 16500 SH SOLE 0 0 0 ROYAL BK CDA COM 780087102 214 3057 SH SOLE 0 0 0 SALESFORCE COM INC COM 79466L302 340 1351 SH SOLE 0 0 0 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 7285 231997 SH SOLE 0 0 0 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 7490 145428 SH SOLE 0 0 0 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 2241 39957 SH SOLE 0 0 0 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 912 16493 SH SOLE 0 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 350 4340 SH SOLE 0 0 0 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 11112 96487 SH SOLE 0 0 0 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 208 3050 SH SOLE 0 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 335 2276 SH SOLE 0 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 852 8080 SH SOLE 0 0 0 SOUTHWEST AIRLS CO COM 844741108 228 6080 SH SOLE 0 0 0 SPDR SER TR BLMBRG BRC CNVRT 78464A359 1265 18358 SH SOLE 0 0 0 SPDR DOW JONES INDL AVERAGE UT SER 1 78467X109 509 1830 SH SOLE 0 0 0 SPDR GOLD TR GOLD SHS 78463V107 1026 5791 SH SOLE 0 0 0 SPDR SER TR NUVEEN BBG BRCLY 78464A284 252 4431 SH SOLE 0 0 0 SPDR SER TR S&P 400 MDCP GRW 78464A821 10260 178773 SH SOLE 0 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 8952 26624 SH SOLE 0 0 0 SPDR SER TR S&P 600 SMCP GRW 78464A201 11743 198935 SH SOLE 0 0 0 SPDR SER TR S&P DIVID ETF 78464A763 305 3300 SH SOLE 0 0 0 SPDR SER TR WELLS FG PFD ETF 78464A292 1077 24780 SH SOLE 0 0 0 STRATEGY SHS NEWFOUND RESLV 86280R886 1799 79586 SH SOLE 0 0 0 SUN CMNTYS INC COM 866674104 583 4126 SH SOLE 0 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 675 5786 SH SOLE 0 0 0 HOME DEPOT INC COM 437076102 712 2564 SH SOLE 0 0 0 VANECK VECTORS ETF TR INVT GRADE FLTG 92189F486 204 8084 SH SOLE 0 0 0 VANECK VECTORS ETF TR SHORT MUNI ETF 92189F528 444 24591 SH SOLE 0 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 1578 5106 SH SOLE 0 0 0 VANGUARD WHITEHALL FDS EMERG MKT BD ETF 921946885 1023 12967 SH SOLE 0 0 0 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 223 1712 SH SOLE 0 0 0 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 352 3346 SH SOLE 0 0 0 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 731 17885 SH SOLE 0 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 1252 28950 SH SOLE 0 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 1468 6452 SH SOLE 0 0 0 VANGUARD BD INDEX FDS INTERMED TERM 921937819 596 6378 SH SOLE 0 0 0 VANGUARD SCOTTSDALE FDS INTER TERM TREAS 92206C706 2076 29462 SH SOLE 0 0 0 VANGUARD INDEX FDS LARGE CAP ETF 922908637 235 1503 SH SOLE 0 0 0 VANGUARD BD INDEX FDS LONG TERM BOND 921937793 397 3552 SH SOLE 0 0 0 VANGUARD WORLD FD MEGA GRWTH IND 921910816 427 2305 SH SOLE 0 0 0 VANGUARD WORLD FD MEGA CAP VAL ETF 921910840 313 4084 SH SOLE 0 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 652 3699 SH SOLE 0 0 0 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 322 3175 SH SOLE 0 0 0 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 393 7233 SH SOLE 0 0 0 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 1427 18078 SH SOLE 0 0 0 VANGUARD ADMIRAL FDS INC 500 GRTH IDX F 921932505 303 1454 SH SOLE 0 0 0 VANGUARD ADMIRAL FDS INC 500 VAL IDX FD 921932703 764 7016 SH SOLE 0 0 0 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 1209 14554 SH SOLE 0 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 2076 25058 SH SOLE 0 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 500 3253 SH SOLE 0 0 0 VANGUARD INDEX FDS SM CP VAL ETF 922908611 441 3990 SH SOLE 0 0 0 VANGUARD MUN BD FDS TAX EXEMPT BD 922907746 389 7139 SH SOLE 0 0 0 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 1333 15114 SH SOLE 0 0 0 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 1100 18901 SH SOLE 0 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 893 5242 SH SOLE 0 0 0 VANGUARD WORLD FDS UTILITIES ETF 92204A876 208 1608 SH SOLE 0 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 869 8318 SH SOLE 0 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 298 5007 SH SOLE 0 0 0 VISA INC COM CL A 92826C839 321 1603 SH SOLE 0 0 0 WALMART INC COM 931142103 3331 23808 SH SOLE 0 0 0 WISDOMTREE TR CLOUD COMPUTNG 97717Y691 298 6984 SH SOLE 0 0 0 DBX ETF TR XTRACK MSCI EAFE 233051200 4203 137364 SH SOLE 0 0 0