PENSIONMARK FINANCIAL GROUP, LLC
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PENSIONMARK FINANCIAL GROUP, LLC
(CRD# 208512)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Santa Barbara, CA.
The SEC approved the firm to operate as an RIA in
May 2015.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$18.4 Billion,
with discretion over
21%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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PENSIONMARK FINANCIAL GROUP, LLC
also reported in
Mar 2019
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194
employees,
with
92
performing advisory functions.
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A total of 42 office locations.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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PENSIONMARK FINANCIAL GROUP, LLC has one or more disclosure events currently on file with the SEC.
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PENSIONMARK FINANCIAL GROUP, LLC has Notice Filings with the following State Securities Authorities: <
AL-Feb 2018, AR-Jul 2015, AZ-Jun 2015, CA-May 2015, CO-Jul 2015
, CT-Jun 2016, DC-Mar 2017, DE-Feb 2018, FL-May 2015, GA-Jun 2015
, HI-May 2015, ID-Jun 2015, IL-Nov 2016, IN-Jun 2015, KS-May 2018
, KY-Nov 2016, LA-Oct 2016, MA-Sep 2016, MD-Sep 2015, ME-Jun 2016
, MI-Feb 2018, MN-May 2015, MO-Jul 2015, MS-Feb 2018, MT-Jun 2015
, NC-Sep 2016, NH-Nov 2018, NJ-May 2016, NV-Feb 2016, NY-May 2016
, OH-May 2015, OK-Jul 2015, OR-Feb 2018, PA-Aug 2015, RI-Aug 2016
, SC-Feb 2018, TN-May 2016, TX-May 2015, UT-Oct 2015, VA-Jun 2015
, VT-Nov 2018, WA-Feb 2018, WI-Feb 2018, WV-May 2018, WY-Feb 2018
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The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
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SEC. Feel free to contact
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