Executive Vice President

0001062993-20-000729.txt : 20200213 0001062993-20-000729.hdr.sgml : 20200213 20200212183509 ACCESSION NUMBER: 0001062993-20-000729 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200213 DATE AS OF CHANGE: 20200212 EFFECTIVENESS DATE: 20200213 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: 20606182 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 12-31-2019 12-31-2019 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 02-12-2020 0 164 256351 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE ABERDEEN STD GOLD ETF TR PHYSCL GOLD SHS 00326A104 154 10537 SH SOLE 0 0 10537 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 227 1079 SH SOLE 0 0 1079 ALPS ETF TR ALERIAN MLP 00162Q866 88 10313 SH SOLE 0 0 10313 ALPHA ARCHITECT ETF TR VAL MOMTM TRND 02072L508 858 33933 SH SOLE 0 0 33933 ALPHABET INC CAP STK CL A 02079K305 259 193 SH SOLE 0 0 193 ALTRIA GROUP INC COM 02209S103 219 4315 SH SOLE 0 0 4315 AMAZON COM INC COM 023135106 1526 826 SH SOLE 0 0 826 ANNALY CAP MGMT INC COM 035710409 100 10352 SH SOLE 0 0 10352 APPLE INC COM 037833100 2416 8227 SH SOLE 0 0 8227 AT&T INC COM 00206R102 655 16752 SH SOLE 0 0 16752 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 800 3534 SH SOLE 0 0 3534 BLACKROCK FLOAT RATE OME STR COM 09255X100 143 10546 SH SOLE 0 0 10546 BLACKROCK MUNIENHANCED FD IN COM 09253Y100 173 15519 SH SOLE 0 0 15519 BLACKSTONE GROUP INC COM CL A 09260D107 315 5631 SH SOLE 0 0 5631 BOEING CO COM 097023105 259 796 SH SOLE 0 0 796 CAMBRIA ETF TR GLB MOMENT ETF 132061508 896 34629 SH SOLE 0 0 34629 CAMBRIA ETF TR GLOBAL VALUE ETF 132061409 562 23309 SH SOLE 0 0 23309 CELLCOM ISRAEL LTD SHS M2196U109 34 10825 SH SOLE 0 0 10825 CHEVRON CORP NEW COM 166764100 1061 8807 SH SOLE 0 0 8807 CISCO SYS INC COM 17275R102 500 10434 SH SOLE 0 0 10434 COMSTOCK RES INC COM 205768302 222 27000 SH SOLE 0 0 27000 COVIA HLDGS CORP COM 22305A103 20 10000 SH SOLE 0 0 10000 DANAHER CORPORATION COM 235851102 384 2500 SH SOLE 0 0 2500 DENBURY RES INC COM NEW 247916208 42 30000 SH SOLE 0 0 30000 ENBRIDGE INC COM 29250N105 255 6405 SH SOLE 0 0 6405 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 182 14197 SH SOLE 0 0 14197 EVERGY INC COM 30034W106 213 3270 SH SOLE 0 0 3270 FACEBOOK INC CL A 30303M102 290 1414 SH SOLE 0 0 1414 FIRST TR EXCHANGE TRADED FD CONSUMR STAPLE 33734X119 287 5743 SH SOLE 0 0 5743 FIRST TR EXCHANGE TRADED FD DORSEY WRT 5 ETF 33738R605 460 14563 SH SOLE 0 0 14563 FIRST TR EXCHANGE TRADED FD DJ INTERNT IDX 33733E302 433 3111 SH SOLE 0 0 3111 FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 295 8800 SH SOLE 0 0 8800 FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 343 5252 SH SOLE 0 0 5252 FIRST TR EXCHANG TRADED FD I MANAGD MUN ETF 33739N108 246 4425 SH SOLE 0 0 4425 FIRST TR MID CAP CORE ALPHAD COM SHS 33735B108 329 4533 SH SOLE 0 0 4533 FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 387 19278 SH SOLE 0 0 19278 FIRST TR EXCHANGE TRADED FD SSI STRG ETF 33739Q507 237 7150 SH SOLE 0 0 7150 FIRST TR EXCHANGE TRADED FD US EQTY OPPT ETF 336920103 303 3770 SH SOLE 0 0 3770 FORD MTR CO DEL COM 345370860 166 17839 SH SOLE 0 0 17839 FS KKR CAPITAL CORP COM 302635107 166 26275 SH SOLE 0 0 26275 GABELLI DIVD & INCOME TR COM 36242H104 249 11350 SH SOLE 0 0 11350 GENERAL ELECTRIC CO COM 369604103 253 22617 SH SOLE 0 0 22617 INVESCO EXCH TRD SLF IDX FD BULSHS 2022 CB 46138J882 8593 399571 SH SOLE 0 0 399571 INVESCO EXCHANGE TRADED FD T FTSE RAFI 1000 46137V613 9587 75663 SH SOLE 0 0 75663 INVESCO EXCHNG TRADED FD TR PFD ETF 46138E511 247 16450 SH SOLE 0 0 16450 INVESCO QQQ TR UNIT SER 1 46090E103 1853 8718 SH SOLE 0 0 8718 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 915 7903 SH SOLE 0 0 7903 INVESCO EXCHNG TRADED FD TR S&P500 LOW VOL 46138E354 224 3847 SH SOLE 0 0 3847 INVESCO EXCHANGE TRADED FD T S&P 500 TOP 50 46137V233 463 1986 SH SOLE 0 0 1986 INVESCO EXCHNG TRADED FD TR S&P MIDCP LOW 46138E198 201 3738 SH SOLE 0 0 3738 INVESCO EXCHANGE TRADED FD T S&P MDCP MOMNTUM 46137V464 268 4385 SH SOLE 0 0 4385 INVESCO EXCHNG TRADED FD TR S&P SMLCP LOW 46138G102 235 4614 SH SOLE 0 0 4614 INDEXIQ ETF TR IQ MRGR ARB ETF 45409B800 914 27516 SH SOLE 0 0 27516 ISHARES TR 0-5YR INVT GR CP 46434V100 15590 305446 SH SOLE 0 0 305446 ISHARES TR 1 3 YR TREAS BD 464287457 3476 41070 SH SOLE 0 0 41070 ISHARES TR CORE MSCI EAFE 46432F842 6036 92526 SH SOLE 0 0 92526 ISHARES INC CORE MSCI EMKT 46434G103 997 18543 SH SOLE 0 0 18543 ISHARES TR CORE MSCI TOTAL 46432F834 12855 207674 SH SOLE 0 0 207674 ISHARES TR CORE S&P500 ETF 464287200 1036 3205 SH SOLE 0 0 3205 ISHARES TR CORE S&P MCP ETF 464287507 642 3119 SH SOLE 0 0 3119 ISHARES TR CORE S&P SCP ETF 464287804 3287 39203 SH SOLE 0 0 39203 ISHARES TR CORE S&P TTL STK 464287150 674 9275 SH SOLE 0 0 9275 ISHARES TR CORE US AGGBD ET 464287226 677 6026 SH SOLE 0 0 6026 ISHARES TR HDG MSCI EAFE 46434V803 688 22548 SH SOLE 0 0 22548 ISHARES TR INTL QLTY FACTOR 46434V456 319 9879 SH SOLE 0 0 9879 ISHARES TR MIN VOL EAFE ETF 46429B689 436 5853 SH SOLE 0 0 5853 ISHARES INC MIN VOL EMRG MKT 464286533 3927 66951 SH SOLE 0 0 66951 ISHARES INC MIN VOL GBL ETF 464286525 494 5156 SH SOLE 0 0 5156 ISHARES TR MSCI MIN VOL ETF 46429B697 3662 55819 SH SOLE 0 0 55819 ISHARES TR EDGE MSCI MINM 46435G433 344 9695 SH SOLE 0 0 9695 ISHARES TR USA MOMENTUM FCT 46432F396 1008 8028 SH SOLE 0 0 8028 ISHARES TR USA QUALITY FCTR 46432F339 368 3648 SH SOLE 0 0 3648 ISHARES TR EDGE MSCI USA VL 46432F388 590 6578 SH SOLE 0 0 6578 ISHARES TR ESG US AGR BD 46435U549 239 4450 SH SOLE 0 0 4450 ISHARES TR FLTG RATE NT ETF 46429B655 222 4367 SH SOLE 0 0 4367 ISHARES TR IBOXX HI YD ETF 464288513 424 4817 SH SOLE 0 0 4817 ISHARES TR MBS ETF 464288588 404 3739 SH SOLE 0 0 3739 ISHARES TR MRGSTR MD CP ETF 464288208 515 2457 SH SOLE 0 0 2457 ISHARES TR MSCI EAFE ETF 464287465 2059 29658 SH SOLE 0 0 29658 ISHARES TR EAFE VALUE ETF 464288877 633 12686 SH SOLE 0 0 12686 ISHARES INC MSCI FRNTR100ETF 464286145 745 24554 SH SOLE 0 0 24554 ISHARES TR NATIONAL MUN ETF 464288414 688 6044 SH SOLE 0 0 6044 ISHARES TR PFD AND INCM SEC 464288687 361 9598 SH SOLE 0 0 9598 ISHARES TR RUS 1000 GRW ETF 464287614 463 2632 SH SOLE 0 0 2632 ISHARES TR RUS 1000 VAL ETF 464287598 655 4796 SH SOLE 0 0 4796 ISHARES TR RUSSELL 2000 ETF 464287655 254 1534 SH SOLE 0 0 1534 ISHARES TR RUS MID CAP ETF 464287499 245 4104 SH SOLE 0 0 4104 ISHARES TR S&P 500 GRWT ETF 464287309 15845 81827 SH SOLE 0 0 81827 ISHARES TR S&P 500 VAL ETF 464287408 2595 19949 SH SOLE 0 0 19949 ISHARES TR S&P MC 400GR ETF 464287606 15336 64407 SH SOLE 0 0 64407 ISHARES TR S&P MC 400VL ETF 464287705 1761 10314 SH SOLE 0 0 10314 ISHARES TR S&P SML 600 GWT 464287887 18387 95123 SH SOLE 0 0 95123 ISHARES TR SP SMCP600VL ETF 464287879 1242 7725 SH SOLE 0 0 7725 ISHARES TR SELECT DIVID ETF 464287168 303 2868 SH SOLE 0 0 2868 ISHARES US ETF TR SHT MAT BD ETF 46431W507 399 7949 SH SOLE 0 0 7949 ISHARES TR TIPS BD ETF 464287176 292 2509 SH SOLE 0 0 2509 ISHARES TR INTRM TR CRP ETF 464288638 443 7632 SH SOLE 0 0 7632 ISHARES TR US AER DEF ETF 464288760 326 1466 SH SOLE 0 0 1466 ISHARES TR US TREAS BD ETF 46429B267 573 22104 SH SOLE 0 0 22104 JOHNSON & JOHNSON COM 478160104 330 2259 SH SOLE 0 0 2259 LOCKHEED MARTIN CORP COM 539830109 267 686 SH SOLE 0 0 686 MERCK & CO INC COM 58933Y105 225 2455 SH SOLE 0 0 2455 MICROSOFT CORP COM 594918104 502 3184 SH SOLE 0 0 3184 NEW SR INVT GROUP INC COM 648691103 91 11912 SH SOLE 0 0 11912 NUVEEN CALIFORNIA AMT QLT MU COM 670651108 346 22745 SH SOLE 0 0 22745 NUVEEN CA QUALTY MUN INCOME COM 67066Y105 259 17390 SH SOLE 0 0 17390 NUVEEN FLTNG RTE INCM OPP FD COM SHS 6706EN100 139 13900 SH SOLE 0 0 13900 PIMCO DYNMIC CREDIT AND MRT COM SHS 72202D106 223 8780 SH SOLE 0 0 8780 PIMCO INCOME OPPORTUNITY FD COM 72202B100 266 9515 SH SOLE 0 0 9515 PIMCO STRATEGIC INCOME FD IN COM 72200X104 113 12376 SH SOLE 0 0 12376 REGIONS FINL CORP NEW COM 7591EP100 197 11383 SH SOLE 0 0 11383 RELMADA THERAPEUTICS INC COM 75955J402 507 13000 SH SOLE 0 0 13000 ROYAL BK CDA MONTREAL QUE COM 780087102 242 3057 SH SOLE 0 0 3057 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 7543 224289 SH SOLE 0 0 224289 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 7014 138940 SH SOLE 0 0 138940 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 237 4085 SH SOLE 0 0 4085 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 259 3373 SH SOLE 0 0 3373 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 9220 99236 SH SOLE 0 0 99236 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 204 2699 SH SOLE 0 0 2699 SIRIUS XM HLDGS INC COM 82968B103 111 15478 SH SOLE 0 0 15478 SOUTHERN CO COM 842587107 281 4415 SH SOLE 0 0 4415 SPDR SERIES TRUST BLMBRG BRC CNVRT 78464A359 1044 18820 SH SOLE 0 0 18820 SPDR SERIES TRUST BLOOMBERG BRCLYS 78468R622 358 3270 SH SOLE 0 0 3270 SPDR SERIES TRUST BLOMBERG INTL TR 78464A516 395 13719 SH SOLE 0 0 13719 SPDR SERIES TRUST BLOMBERG BRC INV 78468R200 1273 41434 SH SOLE 0 0 41434 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 699 2445 SH SOLE 0 0 2445 SPDR GOLD TRUST GOLD SHS 78463V107 428 2997 SH SOLE 0 0 2997 SPDR SERIES TRUST PORTFOLIO AGRGTE 78464A649 1735 59044 SH SOLE 0 0 59044 SPDR SERIES TRUST S&P 400 MDCP GRW 78464A821 9155 160358 SH SOLE 0 0 160358 SPDR S&P 500 ETF TR TR UNIT 78462F103 7328 22656 SH SOLE 0 0 22656 SPDR SERIES TRUST S&P 600 SMCP GRW 78464A201 11203 173633 SH SOLE 0 0 173633 SPDR SERIES TRUST S&P DIVID ETF 78464A763 414 3852 SH SOLE 0 0 3852 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 364 967 SH SOLE 0 0 967 SPDR SERIES TRUST WELLS FG PFD ETF 78464A292 1091 24780 SH SOLE 0 0 24780 STRATEGY SHS NEWFOUND RESLV 86280R886 1767 67422 SH SOLE 0 0 67422 SUN CMNTYS INC COM 866674104 597 3956 SH SOLE 0 0 3956 HOME DEPOT INC COM 437076102 620 2840 SH SOLE 0 0 2840 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 3636 12292 SH SOLE 0 0 12292 VANGUARD WHITEHALL FDS INC EMERG MKT BD ETF 921946885 975 11976 SH SOLE 0 0 11976 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 221 1752 SH SOLE 0 0 1752 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 350 3150 SH SOLE 0 0 3150 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 795 18037 SH SOLE 0 0 18037 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 1213 27284 SH SOLE 0 0 27284 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 351 5932 SH SOLE 0 0 5932 VANGUARD INDEX FDS GROWTH ETF 922908736 856 4701 SH SOLE 0 0 4701 VANGUARD BD INDEX FD INC LONG TERM BOND 921937793 254 2529 SH SOLE 0 0 2529 VANGUARD WORLD FD MEGA CAP VAL ETF 921910840 274 3148 SH SOLE 0 0 3148 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 505 4234 SH SOLE 0 0 4234 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 281 5294 SH SOLE 0 0 5294 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 1457 15701 SH SOLE 0 0 15701 VANGUARD ADMIRAL FDS INC 500 VAL IDX FD 921932703 799 6363 SH SOLE 0 0 6363 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 414 5131 SH SOLE 0 0 5131 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 1962 24215 SH SOLE 0 0 24215 VANGUARD INDEX FDS SM CP VAL ETF 922908611 445 3244 SH SOLE 0 0 3244 VANGUARD MUN BD FD INC TAX EXEMPT BD 922907746 536 10015 SH SOLE 0 0 10015 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 896 10679 SH SOLE 0 0 10679 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 948 16761 SH SOLE 0 0 16761 VANGUARD INDEX FDS TOTAL STK MKT 922908769 711 4347 SH SOLE 0 0 4347 VANGUARD WORLD FDS UTILITIES ETF 92204A876 291 2034 SH SOLE 0 0 2034 VANGUARD INDEX FDS VALUE ETF 922908744 691 5766 SH SOLE 0 0 5766 VERIZON COMMUNICATIONS INC COM 92343V104 284 4623 SH SOLE 0 0 4623 VISA INC COM CL A 92826C839 275 1463 SH SOLE 0 0 1463 WALMART INC COM 931142103 2875 24082 SH SOLE 0 0 24082 DBX ETF TR XTRACK MSCI EAFE 233051200 3985 117955 SH SOLE 0 0 117955