Director IA Compliance

0001085146-19-001145.txt : 20190410 0001085146-19-001145.hdr.sgml : 20190410 20190410115043 ACCESSION NUMBER: 0001085146-19-001145 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190331 FILED AS OF DATE: 20190410 DATE AS OF CHANGE: 20190410 EFFECTIVENESS DATE: 20190410 FILER: COMPANY DATA: COMPANY CONFORMED NAME: DFPG INVESTMENTS, INC. CENTRAL INDEX KEY: 0001504665 IRS NUMBER: 273648334 STATE OF INCORPORATION: UT FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-18973 FILM NUMBER: 19741045 BUSINESS ADDRESS: STREET 1: 9017 S RIVERSIDE DRIVE STREET 2: SUITE 210 CITY: SANDY STATE: UT ZIP: 84070 BUSINESS PHONE: 720-454-4275 MAIL ADDRESS: STREET 1: 9017 S RIVERSIDE DRIVE STREET 2: SUITE 210 CITY: SANDY STATE: UT ZIP: 84070 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001504665 XXXXXXXX 03-31-2019 03-31-2019 false DFPG INVESTMENTS, INC.

9017 S RIVERSIDE DRIVE SUITE 210 SANDY UT 84070

13F HOLDINGS REPORT 028-18973 N Craig Watanabe Director IA Compliance 626-818-7640 /s/ Craig Watanabe Sandy UT 04-09-2019 0 139 93053 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE ABBVIE INC COM 00287Y109 259 3129 SH SOLE 0 0 3129 ABERDEEN ASIA PACIFIC INCOM COM 003009107 92 21664 SH SOLE 0 0 21664 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 1085 5990 SH SOLE 0 0 5990 ALPHABET INC CAP STK CL C 02079K107 1215 1000 SH SOLE 0 0 1000 ALPHABET INC CAP STK CL A 02079K305 694 569 SH SOLE 0 0 569 ALPS ETF TR ALERIAN MLP 00162Q866 204 20172 SH SOLE 0 0 20172 AMAZON COM INC COM 023135106 2557 1406 SH SOLE 0 0 1406 AMERICAN FIN TR INC COM CLASS A 02607T109 1760 165758 SH SOLE 0 0 165758 AMGEN INC COM 031162100 297 1544 SH SOLE 0 0 1544 APOLLO INVT CORP COM NEW 03761U502 212 13912 SH SOLE 0 0 13912 APPLE INC COM 037833100 4724 24139 SH SOLE 0 0 24139 ARES CAP CORP COM 04010L103 466 26763 SH SOLE 0 0 26763 AT&T INC COM 00206R102 429 13430 SH SOLE 0 0 13430 BAIDU INC SPON ADR REP A 056752108 221 1235 SH SOLE 0 0 1235 BANK AMER CORP COM 060505104 753 25846 SH SOLE 0 0 25846 BERKSHIRE HATHAWAY INC DEL CL A 084670108 919 3 SH SOLE 0 0 3 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1900 9311 SH SOLE 0 0 9311 BLACKROCK CORPOR HI YLD FD I COM 09255P107 169 16291 SH SOLE 0 0 16291 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 540 15562 SH SOLE 0 0 15562 BLOOM ENERGY CORP COM CL A 093712107 217 17141 SH SOLE 0 0 17141 BOEING CO COM 097023105 2023 5110 SH SOLE 0 0 5110 BROADCOM INC COM 11135F101 285 944 SH SOLE 0 0 944 CAESARS ENTMT CORP COM 127686103 91 10000 SH SOLE 0 0 10000 CANOPY GROWTH CORP COM 138035100 224 5170 SH SOLE 0 0 5170 CBRE CLARION GLOBAL REAL EST COM 12504G100 75 10065 SH SOLE 0 0 10065 CHEVRON CORP NEW COM 166764100 691 5538 SH SOLE 0 0 5538 CISCO SYS INC COM 17275R102 531 9637 SH SOLE 0 0 9637 COCA COLA CO COM 191216100 204 4385 SH SOLE 0 0 4385 COHEN & STEERS INFRASTRUCTUR COM 19248A109 213 8629 SH SOLE 0 0 8629 COLONY CR REAL ESTATE INC COM CL A 19625T101 842 52898 SH SOLE 0 0 52898 CONSTELLATION BRANDS INC CL A 21036P108 434 2269 SH SOLE 0 0 2269 DANAHER CORPORATION COM 235851102 256 1960 SH SOLE 0 0 1960 DBX ETF TR XTRACK MSCI EAFE 233051200 461 14468 SH SOLE 0 0 14468 DISNEY WALT CO COM DISNEY 254687106 627 5468 SH SOLE 0 0 5468 EATON VANCE LTD DUR INCOME F COM 27828H105 149 11767 SH SOLE 0 0 11767 EXXON MOBIL CORP COM 30231G102 350 4269 SH SOLE 0 0 4269 FACEBOOK INC CL A 30303M102 1834 10419 SH SOLE 0 0 10419 FIDELITY MSCI INFO TECH I 316092808 389 6436 SH SOLE 0 0 6436 FIDELITY COMWLTH TR NDQ CP IDX TRK 315912808 217 702 SH SOLE 0 0 702 FIRST TR EXCH TRD ALPHA FD I EUROPE ALPHADEX 33737J117 582 16245 SH SOLE 0 0 16245 FIRST TR EXCHANGE TRADED FD US EQTY OPPT ETF 336920103 516 6863 SH SOLE 0 0 6863 FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 279 5866 SH SOLE 0 0 5866 FIRST TR EXCHANGE TRADED FD FIRST TR TA HIYL 33738D408 214 4450 SH SOLE 0 0 4450 FIRST TR EXCHANGE TRADED FD RISNG DIVD ACHIV 33738R506 446 14469 SH SOLE 0 0 14469 FIRST TR EXCHANGE TRADED FD FST LOW OPPT EFT 33739Q200 1224 23860 SH SOLE 0 0 23860 FIRST TR EXCHANGE TRADED FD FT STRG INCM ETF 33739Q309 854 17115 SH SOLE 0 0 17115 FIRST TR EXCHANGE TRADED FD FIRST TR ENH NEW 33739Q408 1743 29057 SH SOLE 0 0 29057 FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 429 8137 SH SOLE 0 0 8137 FIRST TR NASDAQ100 TECH INDE SHS 337345102 206 2412 SH SOLE 0 0 2412 FIRST TR VALUE LINE DIVID IN SHS 33734H106 2067 63296 SH SOLE 0 0 63296 FLEXSHARES TR INT QLTDVDYNAM 33939L829 287 11315 SH SOLE 0 0 11315 FORD MTR CO DEL COM 345370860 140 15129 SH SOLE 0 0 15129 FS KKR CAPITAL CORP COM 302635107 903 144993 SH SOLE 0 0 144993 GENERAL ELECTRIC CO COM 369604103 228 22780 SH SOLE 0 0 22780 GLOBAL NET LEASE INC COM NEW 379378201 292 15410 SH SOLE 0 0 15410 GLOBAL X FDS NASDAQ 100 COVER 37954Y483 314 13734 SH SOLE 0 0 13734 GOLDMAN SACHS GROUP INC COM 38141G104 455 2251 SH SOLE 0 0 2251 INTEL CORP COM 458140100 215 3837 SH SOLE 0 0 3837 INTERNATIONAL BUSINESS MACHS COM 459200101 200 1403 SH SOLE 0 0 1403 INVESCO EXCHANGE TRADED FD T S&P SML600 GWT 46137V175 408 3564 SH SOLE 0 0 3564 INVESCO EXCHANGE TRADED FD T BUYBACK ACHIEV 46137V308 269 4399 SH SOLE 0 0 4399 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 1916 18017 SH SOLE 0 0 18017 INVESCO QQQ TR UNIT SER 1 46090E103 3077 16747 SH SOLE 0 0 16747 ISHARES INC MIN VOL GBL ETF 464286525 1324 14808 SH SOLE 0 0 14808 ISHARES TR CORE US AGGBD ET 464287226 256 2364 SH SOLE 0 0 2364 ISHARES TR IBOXX INV CP ETF 464287242 1133 9569 SH SOLE 0 0 9569 ISHARES TR S&P 500 GRWT ETF 464287309 373 2134 SH SOLE 0 0 2134 ISHARES TR S&P 500 VAL ETF 464287408 253 2203 SH SOLE 0 0 2203 ISHARES TR 20 YR TR BD ETF 464287432 244 1973 SH SOLE 0 0 1973 ISHARES TR CORE S&P MCP ETF 464287507 1216 6293 SH SOLE 0 0 6293 ISHARES TR CORE S&P SCP ETF 464287804 710 9024 SH SOLE 0 0 9024 ISHARES TR PFD AND INCM SEC 464288687 500 13602 SH SOLE 0 0 13602 ISHARES TR US AER DEF ETF 464288760 662 3259 SH SOLE 0 0 3259 ISHARES TR CORE MSCI EAFE 46432F842 450 7262 SH SOLE 0 0 7262 JOHNSON & JOHNSON COM 478160104 528 3892 SH SOLE 0 0 3892 JP MORGAN EXCHANGE TRADED FD ULTRA SHRT INC 46641Q837 2901 57677 SH SOLE 0 0 57677 JPMORGAN CHASE & CO COM 46625H100 801 7584 SH SOLE 0 0 7584 JUST ENERGY GROUP INC COM 48213W101 45 13114 SH SOLE 0 0 13114 LILLY ELI & CO COM 532457108 479 3815 SH SOLE 0 0 3815 MASTERCARD INC CL A 57636Q104 1071 4538 SH SOLE 0 0 4538 MERCK & CO INC COM 58933Y105 332 4057 SH SOLE 0 0 4057 MICROSOFT CORP COM 594918104 2142 17950 SH SOLE 0 0 17950 MOODYS CORP COM 615369105 640 3427 SH SOLE 0 0 3427 NETFLIX INC COM 64110L106 951 2585 SH SOLE 0 0 2585 NIKE INC CL B 654106103 607 7119 SH SOLE 0 0 7119 NVIDIA CORP COM 67066G104 419 2226 SH SOLE 0 0 2226 OGE ENERGY CORP COM 670837103 262 6168 SH SOLE 0 0 6168 ONEOK INC NEW COM 682680103 309 4448 SH SOLE 0 0 4448 ORACLE CORP COM 68389X105 400 7436 SH SOLE 0 0 7436 PAYCOM SOFTWARE INC COM 70432V102 230 1250 SH SOLE 0 0 1250 PEPSICO INC COM 713448108 655 5391 SH SOLE 0 0 5391 PFIZER INC COM 717081103 382 8942 SH SOLE 0 0 8942 PIMCO ETF TR 0-5 HIGH YIELD 72201R783 223 2238 SH SOLE 0 0 2238 PORTFOLIO RECOVERY ASSOCS IN NOTE 3.000% 8/0 73640QAB1 43 45000 PRN SOLE 0 0 45000 PROCTER AND GAMBLE CO COM 742718109 353 3416 SH SOLE 0 0 3416 PROSHARES TR SHORT S&P 500 NE 74347B425 443 16259 SH SOLE 0 0 16259 PROSHARES TR S&P 500 DV ARIST 74348A467 1096 16041 SH SOLE 0 0 16041 PROSPECT CAPITAL CORPORATION NOTE 4.750% 4/1 74348TAQ5 61 60000 PRN SOLE 0 0 60000 QUALCOMM INC COM 747525103 229 3962 SH SOLE 0 0 3962 REALTY INCOME CORP COM 756109104 251 3490 SH SOLE 0 0 3490 REAVES UTIL INCOME FD COM SH BEN INT 756158101 357 10530 SH SOLE 0 0 10530 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 289 5434 SH SOLE 0 0 5434 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 464 5082 SH SOLE 0 0 5082 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 212 3822 SH SOLE 0 0 3822 SELECT SECTOR SPDR TR ENERGY 81369Y506 360 5418 SH SOLE 0 0 5418 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 371 13971 SH SOLE 0 0 13971 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 555 7347 SH SOLE 0 0 7347 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 530 10555 SH SOLE 0 0 10555 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 725 18872 SH SOLE 0 0 18872 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 460 15455 SH SOLE 0 0 15455 SPDR S&P 500 ETF TR TR UNIT 78462F103 2161 7525 SH SOLE 0 0 7525 SPDR SER TR RUSSELL YIELD 78468R770 480 6813 SH SOLE 0 0 6813 SPDR SER TR PRTFLO S&P500 HI 78468R788 954 24814 SH SOLE 0 0 24814 SPDR SERIES TRUST WELLS FG PFD ETF 78464A292 1168 27314 SH SOLE 0 0 27314 SPDR SERIES TRUST BLMBRG BRC CNVRT 78464A359 206 3913 SH SOLE 0 0 3913 SPDR SERIES TRUST S&P DIVID ETF 78464A763 467 4647 SH SOLE 0 0 4647 SPDR SERIES TRUST PORTFOLIO LR ETF 78464A854 714 21153 SH SOLE 0 0 21153 SSGA ACTIVE ETF TR BLKSTN GSOSRLN 78467V608 636 13777 SH SOLE 0 0 13777 THERAPEUTICSMD INC COM 88338N107 50 10000 SH SOLE 0 0 10000 VANECK VECTORS ETF TR FALLEN ANGEL HG 92189F437 228 7916 SH SOLE 0 0 7916 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 1561 5919 SH SOLE 0 0 5919 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 563 3888 SH SOLE 0 0 3888 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 554 6347 SH SOLE 0 0 6347 VANGUARD INDEX FDS SML CP GRW ETF 922908595 208 1140 SH SOLE 0 0 1140 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 1221 10406 SH SOLE 0 0 10406 VANGUARD INDEX FDS GROWTH ETF 922908736 774 4862 SH SOLE 0 0 4862 VANGUARD INDEX FDS SMALL CP ETF 922908751 1050 6744 SH SOLE 0 0 6744 VANGUARD INDEX FDS TOTAL STK MKT 922908769 1014 6894 SH SOLE 0 0 6894 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 1342 30845 SH SOLE 0 0 30845 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 682 16371 SH SOLE 0 0 16371 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 1429 16472 SH SOLE 0 0 16472 VANGUARD WORLD FDS INDUSTRIAL ETF 92204A603 335 2338 SH SOLE 0 0 2338 VERIZON COMMUNICATIONS INC COM 92343V104 337 5706 SH SOLE 0 0 5706 VISA INC COM CL A 92826C839 218 1381 SH SOLE 0 0 1381 WEIBO CORP SPONSORED ADR 948596101 318 4621 SH SOLE 0 0 4621 WELLS FARGO CO NEW COM 949746101 278 5649 SH SOLE 0 0 5649 WELLS FARGO UTILITIES AND HI WF UTILITIES INC 94987E109 271 20870 SH SOLE 0 0 20870 XILINX INC COM 983919101 203 1585 SH SOLE 0 0 1585 ZEBRA TECHNOLOGIES CORP CL A 989207105 461 2153 SH SOLE 0 0 2153