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 (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