0001062993-19-003282.txt : 20190812 0001062993-19-003282.hdr.sgml : 20190812 20190812091911 ACCESSION NUMBER: 0001062993-19-003282 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190630 FILED AS OF DATE: 20190812 DATE AS OF CHANGE: 20190812 EFFECTIVENESS DATE: 20190812 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: 191014589 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 06-30-2019 06-30-2019 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 08-06-2019 0 147 226718 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE ALPS ETF TR ALERIAN MLP 00162Q866 160 16651 SH SOLE 0 0 16651 ALPHA ARCHITECT ETF TR VAL MOMTM TRND 02072L508 861 36867 SH SOLE 0 0 36867 ALPHABET INC CAP STK CL A 02079K305 251 210 SH SOLE 0 0 210 ALTRIA GROUP INC COM 02209S103 227 4748 SH SOLE 0 0 4748 AMAZON COM INC COM 023135106 1617 892 SH SOLE 0 0 892 AMERIGAS PARTNERS L P UNIT L P INT 030975106 201 5920 SH SOLE 0 0 5920 AMGEN INC COM 031162100 127 10623 SH SOLE 0 0 10623 ANNALY CAP MGMT INC COM 035710409 110 11746 SH SOLE 0 0 11746 APPLE INC COM 037833100 1653 46920 SH SOLE 0 0 46920 AT&T INC COM 00206R102 637 69041 SH SOLE 0 0 69041 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 699 3450 SH SOLE 0 0 3450 BLACKROCK FLOAT RATE OME STR COM 09255X100 135 10546 SH SOLE 0 0 10546 BOEING CO COM 097023105 358 1054 SH SOLE 0 0 1054 CAMBRIA ETF TR GLB MOMENT ETF 132061508 954 38114 SH SOLE 0 0 38114 CAMBRIA ETF TR GLOBAL VALUE ETF 132061409 357 15669 SH SOLE 0 0 15669 CANOPY GROWTH CORP COM 138035100 221 6745 SH SOLE 0 0 6745 CELLCOM ISRAEL LTD SHS M2196U109 29 10825 SH SOLE 0 0 10825 CHEVRON CORP NEW COM 166764100 1070 8861 SH SOLE 0 0 8861 CISCO SYS INC COM 17275R102 557 10468 SH SOLE 0 0 10468 COMSTOCK RES INC COM 205768302 112 18000 SH SOLE 0 0 18000 COVIA HLDGS CORP COM 22305A103 25 15000 SH SOLE 0 0 15000 DANAHER CORPORATION COM 235851102 336 2467 SH SOLE 0 0 2467 DENBURY RES INC COM NEW 247916208 44 43500 SH SOLE 0 0 43500 ENBRIDGE INC COM 29250N105 213 6352 SH SOLE 0 0 6352 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 261 18460 SH SOLE 0 0 18460 EVERGY INC COM 30034W106 206 3412 SH SOLE 0 0 3412 EXXON MOBIL CORP COM 30231G102 260 36162 SH SOLE 0 0 36162 FACEBOOK INC CL A 30303M102 284 1510 SH SOLE 0 0 1510 FIDELITY MOMENTUM FACTR 316092816 325 9406 SH SOLE 0 0 9406 FIDELITY MSCI COMMNTN SVC 316092873 304 9218 SH SOLE 0 0 9218 FIDELITY CONSMR STAPLES 316092303 321 9246 SH SOLE 0 0 9246 FIDELITY MSCI HLTH CARE I 316092600 279 6420 SH SOLE 0 0 6420 FIDELITY MSCI INFO TECH I 316092808 306 5017 SH SOLE 0 0 5017 FIRST TR EXCHANGE TRADED FD CONSUMR STAPLE 33734X119 283 6167 SH SOLE 0 0 6167 FIRST TR EXCHANGE TRADED FD DORSEY WRT 5 ETF 33738R605 427 14228 SH SOLE 0 0 14228 FIRST TR EXCHANGE TRADED FD DJ INTERNT IDX 33733E302 427 3006 SH SOLE 0 0 3006 FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 285 9044 SH SOLE 0 0 9044 FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 240 3963 SH SOLE 0 0 3963 FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 321 16365 SH SOLE 0 0 16365 FIRST TR EXCHANGE TRADED FD SSI STRG ETF 33739Q507 200 6350 SH SOLE 0 0 6350 FORD MTR CO DEL COM 345370860 202 21386 SH SOLE 0 0 21386 FS KKR CAPITAL CORP COM 302635107 244 43034 SH SOLE 0 0 43034 GABELLI DIVD & INCOME TR COM 36242H104 244 11350 SH SOLE 0 0 11350 INVESCO EXCH TRD SLF IDX FD BULSHS 2022 CB 46138J882 8010 373932 SH SOLE 0 0 373932 INVESCO EXCHANGE TRADED FD T FTSE RAFI 1000 46137V613 3973 34684 SH SOLE 0 0 34684 INVESCO EXCHNG TRADED FD TR PFD ETF 46138E511 245 16450 SH SOLE 0 0 16450 INVESCO QQQ TR UNIT SER 1 46090E103 1540 8222 SH SOLE 0 0 8222 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 833 7820 SH SOLE 0 0 7820 INVESCO EXCHANGE TRADED FD T S&P 500 TOP 50 46137V233 426 2025 SH SOLE 0 0 2025 INDEXIQ ETF TR IQ MRGR ARB ETF 45409B800 636 20038 SH SOLE 0 0 20038 ISHARES TR 0-5YR INVT GR CP 46434V100 17497 342738 SH SOLE 0 0 342738 ISHARES TR 1 3 YR TREAS BD 464287457 6608 77756 SH SOLE 0 0 77756 ISHARES TR CORE 1 5 YR USD 46432F859 624 12340 SH SOLE 0 0 12340 ISHARES TR CORE MSCI EAFE 46432F842 2140 36187 SH SOLE 0 0 36187 ISHARES TR CORE MSCI TOTAL 46432F834 13832 249575 SH SOLE 0 0 249575 ISHARES TR CORE S&P500 ETF 464287200 744 2527 SH SOLE 0 0 2527 ISHARES TR CORE S&P SCP ETF 464287804 1133 14877 SH SOLE 0 0 14877 ISHARES TR CORE S&P TTL STK 464287150 698 10504 SH SOLE 0 0 10504 ISHARES TR CORE US AGGBD ET 464287226 695 6194 SH SOLE 0 0 6194 ISHARES INC MIN VOL EMRG MKT 464286533 1600 28445 SH SOLE 0 0 28445 ISHARES INC MIN VOL GBL ETF 464286525 1323 14576 SH SOLE 0 0 14576 ISHARES TR MIN VOL USA ETF 46429B697 3648 58459 SH SOLE 0 0 58459 ISHARES TR EDGE MSCI MINM 46435G433 655 19585 SH SOLE 0 0 19585 ISHARES TR MULTIFACTOR USA 46434V282 319 10395 SH SOLE 0 0 10395 ISHARES TR USA MOMENTUM FCT 46432F396 928 7778 SH SOLE 0 0 7778 ISHARES TR ESG US AGR BD 46435U549 238 4431 SH SOLE 0 0 4431 ISHARES TR FLTG RATE NT ETF 46429B655 231 4532 SH SOLE 0 0 4532 ISHARES TR IBOXX HI YD ETF 464288513 220 2539 SH SOLE 0 0 2539 ISHARES TR MBS ETF 464288588 323 2985 SH SOLE 0 0 2985 ISHARES TR MRGSTR MD CP ETF 464288208 408 2115 SH SOLE 0 0 2115 ISHARES TR MSCI EAFE ETF 464287465 2459 38610 SH SOLE 0 0 38610 ISHARES TR EAFE VALUE ETF 464288877 355 7722 SH SOLE 0 0 7722 ISHARES INC MSCI FRNTR100ETF 464286145 501 17058 SH SOLE 0 0 17058 ISHARES TR PFD AND INCM SEC 464288687 340 9087 SH SOLE 0 0 9087 ISHARES TR RUS 1000 GRW ETF 464287614 459 2907 SH SOLE 0 0 2907 ISHARES TR RUS 1000 VAL ETF 464287598 639 5063 SH SOLE 0 0 5063 ISHARES TR RUS MID CAP ETF 464287499 228 4104 SH SOLE 0 0 4104 ISHARES TR S&P 500 GRWT ETF 464287309 22971 131282 SH SOLE 0 0 131282 ISHARES TR S&P 500 VAL ETF 464287408 257 2217 SH SOLE 0 0 2217 ISHARES TR S&P MC 400GR ETF 464287606 21054 96017 SH SOLE 0 0 96017 ISHARES TR S&P SML 600 GWT 464287887 15870 89892 SH SOLE 0 0 89892 ISHARES TR SELECT DIVID ETF 464287168 268 2714 SH SOLE 0 0 2714 ISHARES US ETF TR SHT MAT BD ETF 46431W507 465 9230 SH SOLE 0 0 9230 ISHARES SILVER TRUST ISHARES 46428Q109 174 11393 SH SOLE 0 0 11393 ISHARES TR TIPS BD ETF 464287176 365 3153 SH SOLE 0 0 3153 ISHARES TR US AER DEF ETF 464288760 309 1460 SH SOLE 0 0 1460 ISHARES TR US TREAS BD ETF 46429B267 284 10931 SH SOLE 0 0 10931 JOHNSON & JOHNSON COM 478160104 309 2356 SH SOLE 0 0 2356 LIGHTBRIDGE CORP COM NEW 53224K203 42 60000 SH SOLE 0 0 60000 LOCKHEED MARTIN CORP COM 539830109 317 876 SH SOLE 0 0 876 MERCK & CO INC COM 58933Y105 258 3057 SH SOLE 0 0 3057 MICROSOFT CORP COM 594918104 700 5116 SH SOLE 0 0 5116 NEW SR INVT GROUP INC COM 648691103 88 12600 SH SOLE 0 0 12600 NUVEEN CALIFORNIA AMT QLT MU COM 670651108 349 22965 SH SOLE 0 0 22965 NUVEEN CA QUALTY MUN INCOME COM 67066Y105 222 14906 SH SOLE 0 0 14906 NUVEEN FLOATING RATE INCOME COM 67072T108 114 11683 SH SOLE 0 0 11683 NUVEEN FLTNG RTE INCM OPP FD COM SHS 6706EN100 135 13900 SH SOLE 0 0 13900 PIMCO DYNMIC CREDIT AND MRT COM SHS 72202D106 221 8980 SH SOLE 0 0 8980 PIMCO INCOME OPPORTUNITY FD COM 72202B100 266 9515 SH SOLE 0 0 9515 PIMCO STRATEGIC INCOME FD IN COM 72200X104 113 11231 SH SOLE 0 0 11231 REGIONS FINL CORP NEW COM 7591EP100 174 11378 SH SOLE 0 0 11378 ROYAL BK CDA MONTREAL QUE COM 780087102 244 3092 SH SOLE 0 0 3092 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 6472 208309 SH SOLE 0 0 208309 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 6121 120933 SH SOLE 0 0 120933 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 228 3261 SH SOLE 0 0 3261 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 10313 123601 SH SOLE 0 0 123601 SIRIUS XM HLDGS INC COM 82968B103 96 15451 SH SOLE 0 0 15451 SOUTHERN CO COM 842587107 286 4983 SH SOLE 0 0 4983 SPDR SERIES TRUST BLMBRG BRC CNVRT 78464A359 934 17658 SH SOLE 0 0 17658 SPDR SERIES TRUST BLOMBERG BRC INV 78468R200 666 21662 SH SOLE 0 0 21662 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 533 2012 SH SOLE 0 0 2012 SPDR GOLD TRUST GOLD SHS 78463V107 429 3152 SH SOLE 0 0 3152 SPDR SERIES TRUST S&P 400 MDCP GRW 78464A821 9263 172243 SH SOLE 0 0 172243 SPDR S&P 500 ETF TR TR UNIT 78462F103 6359 21732 SH SOLE 0 0 21732 SPDR SERIES TRUST S&P 600 SMCP GRW 78464A201 7060 117076 SH SOLE 0 0 117076 SPDR SERIES TRUST S&P DIVID ETF 78464A763 350 3510 SH SOLE 0 0 3510 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 328 940 SH SOLE 0 0 940 SPDR SERIES TRUST WELLS FG PFD ETF 78464A292 1088 24780 SH SOLE 0 0 24780 SUN CMNTYS INC COM 866674104 548 4090 SH SOLE 0 0 4090 HOME DEPOT INC COM 437076102 827 3954 SH SOLE 0 0 3954 US BANCORP DEL COM NEW 902973304 448 326623 SH SOLE 0 0 326623 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 437 1626 SH SOLE 0 0 1626 VANGUARD WHITEHALL FDS INC EMERG MKT BD ETF 921946885 827 10211 SH SOLE 0 0 10211 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 236 2011 SH SOLE 0 0 2011 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 296 2917 SH SOLE 0 0 2917 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 467 11569 SH SOLE 0 0 11569 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 976 24041 SH SOLE 0 0 24041 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 256 4456 SH SOLE 0 0 4456 VANGUARD INDEX FDS GROWTH ETF 922908736 622 3779 SH SOLE 0 0 3779 VANGUARD WORLD FD MEGA CAP VAL ETF 921910840 236 2961 SH SOLE 0 0 2961 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 477 4340 SH SOLE 0 0 4340 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 737 8299 SH SOLE 0 0 8299 VANGUARD ADMIRAL FDS INC 500 VAL IDX FD 921932703 727 6487 SH SOLE 0 0 6487 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 298 3696 SH SOLE 0 0 3696 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 2446 30237 SH SOLE 0 0 30237 VANGUARD INDEX FDS SM CP VAL ETF 922908611 361 2830 SH SOLE 0 0 2830 VANGUARD MUN BD FD INC TAX EXEMPT BD 922907746 542 10120 SH SOLE 0 0 10120 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 828 9900 SH SOLE 0 0 9900 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 796 13664 SH SOLE 0 0 13664 VANGUARD INDEX FDS TOTAL STK MKT 922908769 615 4112 SH SOLE 0 0 4112 VANGUARD WORLD FDS UTILITIES ETF 92204A876 270 2033 SH SOLE 0 0 2033 VANGUARD INDEX FDS VALUE ETF 922908744 402 3655 SH SOLE 0 0 3655 VERIZON COMMUNICATIONS INC COM 92343V104 622 322400 SH SOLE 0 0 322400 VISA INC COM CL A 92826C839 293 1654 SH SOLE 0 0 1654 WALMART INC COM 931142103 1702 15803 SH SOLE 0 0 15803 WELLS FARGO CO NEW COM 949746101 753 484159 SH SOLE 0 0 484159 DBX ETF TR XTRACK MSCI EAFE 233051200 1700 54993 SH SOLE 0 0 54993