Regulatory Consultant

0001085146-21-003056.txt : 20211109 0001085146-21-003056.hdr.sgml : 20211109 20211108203654 ACCESSION NUMBER: 0001085146-21-003056 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210930 FILED AS OF DATE: 20211109 DATE AS OF CHANGE: 20211108 EFFECTIVENESS DATE: 20211109 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Tempus Wealth Planning, LLC CENTRAL INDEX KEY: 0001806428 IRS NUMBER: 813948762 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-20202 FILM NUMBER: 211389509 BUSINESS ADDRESS: STREET 1: 100 SPECTRUM CENTER DRIVE STREET 2: SUITE 460 CITY: IRVINE STATE: CA ZIP: 92618 BUSINESS PHONE: 949-393-2525 MAIL ADDRESS: STREET 1: 100 SPECTRUM CENTER DRIVE STREET 2: SUITE 460 CITY: IRVINE STATE: CA ZIP: 92618 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001806428 XXXXXXXX 09-30-2021 09-30-2021 false Tempus Wealth Planning, LLC

100 SPECTRUM CENTER DRIVE SUITE 460 IRVINE CA 92618

13F HOLDINGS REPORT 028-20202 N Ashley Smith-Roos Regulatory Consultant 310-275-7300 /s/ Ashley Smith-Roos Beverly Hills CA 11-05-2021 0 159 176589 false INFORMATION TABLE 2 infotable.xml INFORMATION TABLE ABBOTT LABS COM 002824100 201 1700 SH SOLE 0 0 1700 ABBVIE INC COM 00287Y109 462 4282 SH SOLE 0 0 4282 ACTIVISION BLIZZARD INC COM 00507V109 292 3778 SH SOLE 0 0 3778 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 363 2452 SH SOLE 0 0 2452 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 12 2000 SH Call SOLE 0 0 2000 ALPHABET INC CAP STK CL A 02079K305 1361 509 SH SOLE 0 0 509 ALTRIA GROUP INC COM 02209S103 301 6615 SH SOLE 0 0 6615 AMAZON COM INC COM 023135106 1849 563 SH SOLE 0 0 563 AMAZON COM INC COM 023135106 20 1000 SH Call SOLE 0 0 1000 AMERICAN WTR WKS CO INC NEW COM 030420103 842 4981 SH SOLE 0 0 4981 AMGEN INC COM 031162100 1220 5735 SH SOLE 0 0 5735 APPLE INC COM 037833100 5917 41813 SH SOLE 0 0 41813 APPLIED MATLS INC COM 038222105 386 3000 SH SOLE 0 0 3000 AT&T INC COM 00206R102 1393 51585 SH SOLE 0 0 51585 BAXTER INTL INC COM 071813109 241 3000 SH SOLE 0 0 3000 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 486 1780 SH SOLE 0 0 1780 BK OF AMERICA CORP COM 060505104 1551 36540 SH SOLE 0 0 36540 BLACKROCK MUNIHLDNGS CALI QL COM 09254L107 252 16057 SH SOLE 0 0 16057 BOEING CO COM 097023105 827 3760 SH SOLE 0 0 3760 BRISTOL-MYERS SQUIBB CO COM 110122108 338 5720 SH SOLE 0 0 5720 CANADIAN NATL RY CO COM 136375102 743 6425 SH SOLE 0 0 6425 CATERPILLAR INC COM 149123101 1017 5300 SH SOLE 0 0 5300 CHEVRON CORP NEW COM 166764100 427 4205 SH SOLE 0 0 4205 CISCO SYS INC COM 17275R102 835 15332 SH SOLE 0 0 15332 CISCO SYS INC COM 17275R102 1 1000 SH Call SOLE 0 0 1000 CITIGROUP INC COM NEW 172967424 822 11706 SH SOLE 0 0 11706 CONOCOPHILLIPS COM 20825C104 318 4686 SH SOLE 0 0 4686 CONSTELLATION BRANDS INC CL A 21036P108 536 2542 SH SOLE 0 0 2542 COSTCO WHSL CORP NEW COM 22160K105 873 1942 SH SOLE 0 0 1942 CVS HEALTH CORP COM 126650100 819 9650 SH SOLE 0 0 9650 DISNEY WALT CO COM 254687106 1809 10692 SH SOLE 0 0 10692 DRAFTKINGS INC COM CL A 26142R104 1142 23714 SH SOLE 0 0 23714 DRAFTKINGS INC COM CL A 26142R104 4 200 SH Call SOLE 0 0 200 EBAY INC. COM 278642103 443 6361 SH SOLE 0 0 6361 ELECTRONIC ARTS INC COM 285512109 339 2386 SH SOLE 0 0 2386 ETF MANAGERS TR ETFMG ALTR HRVST 26924G508 378 26252 SH SOLE 0 0 26252 ETF MANAGERS TR PRIME MOBILE PAY 26924G409 301 4453 SH SOLE 0 0 4453 EXXON MOBIL CORP COM 30231G102 221 3764 SH SOLE 0 0 3764 EXXON MOBIL CORP COM 30231G102 3 500 SH Call SOLE 0 0 500 FACEBOOK INC CL A 30303M102 479 1412 SH SOLE 0 0 1412 FIRST TR EXCHANGE TRADED FD CLOUD COMPUTING 33734X192 496 4704 SH SOLE 0 0 4704 FIRST TR EXCHANGE TRADED FD NASDAQ CYB ETF 33734X846 474 9720 SH SOLE 0 0 9720 FIRST TR EXCHANGE-TRADED FD DJ INTERNT IDX 33733E302 914 3876 SH SOLE 0 0 3876 FORD MTR CO DEL COM 345370860 510 35993 SH SOLE 0 0 35993 GENERAL ELECTRIC CO COM NEW 369604301 9772 94843 SH SOLE 0 0 94843 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 280 7332 SH SOLE 0 0 7332 GLOBAL X FDS RENEWABLE ENERGY 37954Y707 564 36106 SH SOLE 0 0 36106 HERSHEY CO COM 427866108 1010 5965 SH SOLE 0 0 5965 HOME DEPOT INC COM 437076102 546 1662 SH SOLE 0 0 1662 HONEYWELL INTL INC COM 438516106 846 3987 SH SOLE 0 0 3987 HORMEL FOODS CORP COM 440452100 786 19176 SH SOLE 0 0 19176 HUNT J B TRANS SVCS INC COM 445658107 931 5569 SH SOLE 0 0 5569 ILLINOIS TOOL WKS INC COM 452308109 208 1009 SH SOLE 0 0 1009 INTEL CORP COM 458140100 863 16197 SH SOLE 0 0 16197 INTERNATIONAL BUSINESS MACHS COM 459200101 234 1684 SH SOLE 0 0 1684 INVESCO DB COMMDY INDX TRCK UNIT 46138B103 1144 56705 SH SOLE 0 0 56705 INVESCO EXCH TRADED FD TR II NATL AMT MUNI 46138E537 361 13435 SH SOLE 0 0 13435 INVESCO EXCH TRADED FD TR II PFD ETF 46138E511 244 16240 SH SOLE 0 0 16240 INVESCO EXCH TRADED FD TR II S&P MIDCP LOW 46138E198 250 4759 SH SOLE 0 0 4759 INVESCO EXCH TRADED FD TR II S&P500 LOW VOL 46138E354 1554 25537 SH SOLE 0 0 25537 INVESCO EXCHANGE TRADED FD T BUYBACK ACHIEV 46137V308 1174 13026 SH SOLE 0 0 13026 INVESCO QQQ TR UNIT SER 1 46090E103 3141 8774 SH SOLE 0 0 8774 ISHARES TR 1 3 YR TREAS BD 464287457 322 3736 SH SOLE 0 0 3736 ISHARES TR AGGRES ALLOC ETF 464289859 534 7653 SH SOLE 0 0 7653 ISHARES TR BLACKROCK ULTRA 46434V878 14079 278768 SH SOLE 0 0 278768 ISHARES TR CONSER ALLOC ETF 464289883 926 23436 SH SOLE 0 0 23436 ISHARES TR CORE S&P500 ETF 464287200 3048 7074 SH SOLE 0 0 7074 ISHARES TR CORE US AGGBD ET 464287226 406 3536 SH SOLE 0 0 3536 ISHARES TR EXPANDED TECH 464287515 434 1087 SH SOLE 0 0 1087 ISHARES TR GRWT ALLOCAT ETF 464289867 645 11620 SH SOLE 0 0 11620 ISHARES TR IBOXX INV CP ETF 464287242 577 4340 SH SOLE 0 0 4340 ISHARES TR MSCI KLD400 SOC 464288570 1197 14388 SH SOLE 0 0 14388 ISHARES TR NATIONAL MUN ETF 464288414 230 1980 SH SOLE 0 0 1980 ISHARES TR PFD AND INCM SEC 464288687 234 6029 SH SOLE 0 0 6029 ISHARES TR RUS 2000 GRW ETF 464287648 526 1791 SH SOLE 0 0 1791 ISHARES TR S&P 500 GRWT ETF 464287309 1939 26234 SH SOLE 0 0 26234 ISHARES TR S&P MC 400GR ETF 464287606 1527 19279 SH SOLE 0 0 19279 ISHARES TR SELECT DIVID ETF 464287168 1162 10126 SH SOLE 0 0 10126 ISHARES TR U.S. REAL ES ETF 464287739 206 2012 SH SOLE 0 0 2012 ISHARES TR U.S. TECH ETF 464287721 1701 16794 SH SOLE 0 0 16794 JOHNSON & JOHNSON COM 478160104 2574 15941 SH SOLE 0 0 15941 JPMORGAN CHASE & CO COM 46625H100 1581 9660 SH SOLE 0 0 9660 KRANESHARES TR CSI CHI INTERNET 500767306 312 6587 SH SOLE 0 0 6587 KRANESHARES TR CSI CHI INTERNET 500767306 2 200 SH Call SOLE 0 0 200 LABORATORY CORP AMER HLDGS COM NEW 50540R409 255 905 SH SOLE 0 0 905 LILLY ELI & CO COM 532457108 511 2212 SH SOLE 0 0 2212 LOCKHEED MARTIN CORP COM 539830109 1772 5135 SH SOLE 0 0 5135 MCCORMICK & CO INC COM NON VTG 579780206 644 7947 SH SOLE 0 0 7947 MCDONALDS CORP COM 580135101 309 1283 SH SOLE 0 0 1283 MEDTRONIC PLC SHS G5960L103 209 1666 SH SOLE 0 0 1666 MERCK & CO INC COM 58933Y105 716 9537 SH SOLE 0 0 9537 METLIFE INC COM 59156R108 246 3989 SH SOLE 0 0 3989 MICROSOFT CORP COM 594918104 6521 23130 SH SOLE 0 0 23130 MONDELEZ INTL INC CL A 609207105 477 8199 SH SOLE 0 0 8199 NANO X IMAGING LTD ORD SHS M70700105 330 14646 SH SOLE 0 0 14646 NANO X IMAGING LTD ORD SHS M70700105 1 200 SH Call SOLE 0 0 200 NIKE INC CL B 654106103 617 4245 SH SOLE 0 0 4245 NORDSTROM INC COM 655664100 330 12484 SH SOLE 0 0 12484 NVIDIA CORPORATION COM 67066G104 1293 6242 SH SOLE 0 0 6242 ORACLE CORP COM 68389X105 1119 12847 SH SOLE 0 0 12847 PACER FDS TR TRENDP 100 ETF 69374H303 570 10240 SH SOLE 0 0 10240 PACER FDS TR TRENDP US LAR CP 69374H105 620 16435 SH SOLE 0 0 16435 PAYPAL HLDGS INC COM 70450Y103 426 1636 SH SOLE 0 0 1636 PEPSICO INC COM 713448108 1610 10703 SH SOLE 0 0 10703 PFIZER INC COM 717081103 1680 39067 SH SOLE 0 0 39067 PHILIP MORRIS INTL INC COM 718172109 569 6000 SH SOLE 0 0 6000 PIMCO CALIF MUN INCOME FD II COM 72200M108 131 13577 SH SOLE 0 0 13577 PIMCO HIGH INCOME FD COM SHS 722014107 176 27978 SH SOLE 0 0 27978 PROCTER AND GAMBLE CO COM 742718109 358 2560 SH SOLE 0 0 2560 PROSHARES TR MORNINGSTAR ALTR 74347B813 1982 50999 SH SOLE 0 0 50999 PROSHARES TR S&P 500 DV ARIST 74348A467 389 4391 SH SOLE 0 0 4391 PROSHARES TR S&P MDCP 400 DIV 74347B680 1088 16066 SH SOLE 0 0 16066 RAYTHEON TECHNOLOGIES CORP COM 75513E101 622 7231 SH SOLE 0 0 7231 ROYAL CARIBBEAN GROUP COM V7780T103 611 6869 SH SOLE 0 0 6869 SELECT SECTOR SPDR TR FINANCIAL 81369Y605 425 11326 SH SOLE 0 0 11326 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 821 4574 SH SOLE 0 0 4574 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 445 2977 SH SOLE 0 0 2977 SMUCKER J M CO COM NEW 832696405 595 4954 SH SOLE 0 0 4954 SNAP ON INC COM 833034101 201 964 SH SOLE 0 0 964 SPDR DOW JONES INDL AVERAGE UT SER 1 78467X109 381 1127 SH SOLE 0 0 1127 SPDR INDEX SHS FDS GLB NAT RESRCE 78463X541 1468 28592 SH SOLE 0 0 28592 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 2482 68557 SH SOLE 0 0 68557 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 2411 56685 SH SOLE 0 0 56685 SPDR S&P 500 ETF TR TR UNIT 78462F103 1135 2646 SH SOLE 0 0 2646 SPDR SER TR BLOMBRG BRC EMRG 78464A391 1998 78988 SH SOLE 0 0 78988 SPDR SER TR BLOMBRG BRC INTL 78464A151 2270 64298 SH SOLE 0 0 64298 SPDR SER TR BLOOMBERG BRCLYS 78468R622 3448 31528 SH SOLE 0 0 31528 SPDR SER TR PORTFLI TIPS ETF 78464A656 5702 183360 SH SOLE 0 0 183360 SPDR SER TR PORTFOLI S&P1500 78464A805 489 9225 SH SOLE 0 0 9225 SPDR SER TR PORTFOLIO AGRGTE 78464A649 2949 98786 SH SOLE 0 0 98786 SPDR SER TR PORTFOLIO SH TSR 78468R101 6998 228477 SH SOLE 0 0 228477 SPDR SER TR S&P BIOTECH 78464A870 426 3386 SH SOLE 0 0 3386 STARBUCKS CORP COM 855244109 429 3887 SH SOLE 0 0 3887 TARGET CORP COM 87612E106 1337 5844 SH SOLE 0 0 5844 TESLA INC COM 88160R101 288 372 SH SOLE 0 0 372 TJX COS INC NEW COM 872540109 658 9968 SH SOLE 0 0 9968 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 245 2995 SH SOLE 0 0 2995 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 2290 16403 SH SOLE 0 0 16403 VANGUARD INDEX FDS SM CP VAL ETF 922908611 810 4783 SH SOLE 0 0 4783 VANGUARD INDEX FDS SMALL CP ETF 922908751 1072 4904 SH SOLE 0 0 4904 VANGUARD INDEX FDS TOTAL STK MKT 922908769 2433 10956 SH SOLE 0 0 10956 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 661 4946 SH SOLE 0 0 4946 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 380 4612 SH SOLE 0 0 4612 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 303 1975 SH SOLE 0 0 1975 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 2819 27276 SH SOLE 0 0 27276 VANGUARD WHITEHALL FDS INTL DVD ETF 921946810 1442 16530 SH SOLE 0 0 16530 VANGUARD WHITEHALL FDS INTL HIGH ETF 921946794 4400 66619 SH SOLE 0 0 66619 VERIZON COMMUNICATIONS INC COM 92343V104 905 16748 SH SOLE 0 0 16748 VIATRIS INC COM 92556V106 606 44697 SH SOLE 0 0 44697 VIATRIS INC COM 92556V106 1 300 SH Call SOLE 0 0 300 VIRTUS ALLIANZGI CONVERTIBLE COM 92838X102 87 14618 SH SOLE 0 0 14618 VIRTUS ALLIANZGI CONVERTIBLE COM 92838U108 100 19180 SH SOLE 0 0 19180 VISA INC COM CL A 92826C839 482 2165 SH SOLE 0 0 2165 VULCAN MATLS CO COM 929160109 507 3000 SH SOLE 0 0 3000 WALMART INC COM 931142103 993 7127 SH SOLE 0 0 7127 WASTE MGMT INC DEL COM 94106L109 1026 6870 SH SOLE 0 0 6870 WELLS FARGO CO NEW COM 949746101 301 6481 SH SOLE 0 0 6481 WYNN RESORTS LTD COM 983134107 886 10457 SH SOLE 0 0 10457 WYNN RESORTS LTD COM 983134107 14 2500 SH Call SOLE 0 0 2500