Director IA Compliance

0001085146-19-002006.txt : 20190730 0001085146-19-002006.hdr.sgml : 20190730 20190730171119 ACCESSION NUMBER: 0001085146-19-002006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190630 FILED AS OF DATE: 20190730 DATE AS OF CHANGE: 20190730 EFFECTIVENESS DATE: 20190730 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: 19986378 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 06-30-2019 06-30-2019 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 07-11-2019 0 163 104435 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE ABERDEEN ASIA PACIFIC INCOM COM 003009107 92 21785 SH SOLE 0 0 21785 ACTIVISION BLIZZARD INC COM 00507V109 286 6176 SH SOLE 0 0 6176 ADVANCED EMISSIONS SOLUTS IN COM 00770C101 337 26483 SH SOLE 0 0 26483 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 1251 7410 SH SOLE 0 0 7410 ALPHABET INC CAP STK CL C 02079K107 586 521 SH SOLE 0 0 521 ALPHABET INC CAP STK CL A 02079K305 1749 1556 SH SOLE 0 0 1556 ALPS ETF TR RIVRFRNT STR INC 00162Q783 215 8666 SH SOLE 0 0 8666 ALPS ETF TR ALERIAN MLP 00162Q866 169 16921 SH SOLE 0 0 16921 AMAZON COM INC COM 023135106 2821 1419 SH SOLE 0 0 1419 AMERICAN EXPRESS CO COM 025816109 210 1667 SH SOLE 0 0 1667 AMERICAN FIN TR INC COM CLASS A 02607T109 1804 155536 SH SOLE 0 0 155536 AMERICOLD RLTY TR COM 03064D108 278 8069 SH SOLE 0 0 8069 AMGEN INC COM 031162100 248 1364 SH SOLE 0 0 1364 APOLLO INVT CORP COM NEW 03761U502 217 13282 SH SOLE 0 0 13282 APPLE INC COM 037833100 4577 22743 SH SOLE 0 0 22743 AQUA AMERICA INC COM 03836W103 391 9406 SH SOLE 0 0 9406 ARES CAP CORP COM 04010L103 533 29395 SH SOLE 0 0 29395 AT&T INC COM 00206R102 499 14877 SH SOLE 0 0 14877 AVAYA HLDGS CORP COM 05351X101 187 16801 SH SOLE 0 0 16801 AXOS FINL INC COM 05465C100 548 20370 SH SOLE 0 0 20370 BAIDU INC SPON ADR REP A 056752108 201 1750 SH SOLE 0 0 1750 BANK AMER CORP COM 060505104 936 31889 SH SOLE 0 0 31889 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 2131 9924 SH SOLE 0 0 9924 BLACKROCK CORPOR HI YLD FD I COM 09255P107 174 16091 SH SOLE 0 0 16091 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 1110 23882 SH SOLE 0 0 23882 BLOOM ENERGY CORP COM CL A 093712107 260 20100 SH SOLE 0 0 20100 BOEING CO COM 097023105 482 1365 SH SOLE 0 0 1365 BROADCOM INC COM 11135F101 325 1180 SH SOLE 0 0 1180 CAESARS ENTMT CORP COM 127686103 121 10000 SH SOLE 0 0 10000 CANADA GOOSE HOLDINGS INC SHS SUB VTG 135086106 292 7092 SH SOLE 0 0 7092 CANOPY GROWTH CORP COM 138035100 202 5170 SH SOLE 0 0 5170 CARNIVAL CORP UNIT 99/99/9999 143658300 350 7621 SH SOLE 0 0 7621 CBRE CLARION GLOBAL REAL EST COM 12504G100 77 10065 SH SOLE 0 0 10065 CENTENE CORP DEL COM 15135B101 407 8058 SH SOLE 0 0 8058 CHEVRON CORP NEW COM 166764100 521 4224 SH SOLE 0 0 4224 CISCO SYS INC COM 17275R102 479 8500 SH SOLE 0 0 8500 COCA COLA CO COM 191216100 815 15789 SH SOLE 0 0 15789 COHEN & STEERS INFRASTRUCTUR COM 19248A109 230 8650 SH SOLE 0 0 8650 COLONY CR REAL ESTATE INC COM CL A 19625T101 1002 64129 SH SOLE 0 0 64129 CONSTELLATION BRANDS INC CL A 21036P108 247 1247 SH SOLE 0 0 1247 COSTCO WHSL CORP NEW COM 22160K105 210 779 SH SOLE 0 0 779 CRONOS GROUP INC COM 22717L101 179 11500 SH SOLE 0 0 11500 DANAHER CORPORATION COM 235851102 218 1533 SH SOLE 0 0 1533 DELTA AIR LINES INC DEL COM NEW 247361702 391 6627 SH SOLE 0 0 6627 DISNEY WALT CO COM DISNEY 254687106 821 5796 SH SOLE 0 0 5796 EATON VANCE LTD DUR INCOME F COM 27828H105 149 11784 SH SOLE 0 0 11784 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 172 11864 SH SOLE 0 0 11864 FACEBOOK INC CL A 30303M102 1373 6890 SH SOLE 0 0 6890 FIDELITY MSCI CONSM DIS 316092204 336 7183 SH SOLE 0 0 7183 FIDELITY MSCI INFO TECH I 316092808 494 7771 SH SOLE 0 0 7771 FIRST TR EXCH TRD ALPHA FD I EUROPE ALPHADEX 33737J117 639 18283 SH SOLE 0 0 18283 FIRST TR EXCHANGE TRADED FD US EQTY OPPT ETF 336920103 548 6864 SH SOLE 0 0 6864 FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 327 6939 SH SOLE 0 0 6939 FIRST TR EXCHANGE TRADED FD FIRST TR TA HIYL 33738D408 353 7329 SH SOLE 0 0 7329 FIRST TR EXCHANGE TRADED FD RISNG DIVD ACHIV 33738R506 451 14470 SH SOLE 0 0 14470 FIRST TR EXCHANGE TRADED FD FST LOW OPPT EFT 33739Q200 1348 26057 SH SOLE 0 0 26057 FIRST TR EXCHANGE TRADED FD FT STRG INCM ETF 33739Q309 875 17293 SH SOLE 0 0 17293 FIRST TR EXCHANGE TRADED FD FIRST TR ENH NEW 33739Q408 2745 45684 SH SOLE 0 0 45684 FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 425 8138 SH SOLE 0 0 8138 FIRST TR NASDAQ100 TECH INDE SHS 337345102 200 2287 SH SOLE 0 0 2287 FIRST TR VALUE LINE DIVID IN SHS 33734H106 1820 53415 SH SOLE 0 0 53415 FLEXSHARES TR INT QLTDVDYNAM 33939L829 278 11315 SH SOLE 0 0 11315 FS KKR CAPITAL CORP COM 302635107 1003 162304 SH SOLE 0 0 162304 GLOBAL NET LEASE INC COM NEW 379378201 311 15410 SH SOLE 0 0 15410 GLOBAL X FDS NASDAQ 100 COVER 37954Y483 727 31322 SH SOLE 0 0 31322 HARRIS CORP DEL COM 413875105 213 1116 SH SOLE 0 0 1116 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 1873 17240 SH SOLE 0 0 17240 INVESCO EXCHANGE TRADED FD T S&P500 EQL STP 46137V373 644 4753 SH SOLE 0 0 4753 INVESCO QQQ TR UNIT SER 1 46090E103 3215 16861 SH SOLE 0 0 16861 ISHARES INC MIN VOL GBL ETF 464286525 432 4642 SH SOLE 0 0 4642 ISHARES TR CORE US AGGBD ET 464287226 204 1837 SH SOLE 0 0 1837 ISHARES TR IBOXX INV CP ETF 464287242 398 3224 SH SOLE 0 0 3224 ISHARES TR S&P 500 GRWT ETF 464287309 359 1967 SH SOLE 0 0 1967 ISHARES TR CORE S&P MCP ETF 464287507 461 2374 SH SOLE 0 0 2374 ISHARES TR U.S. FIN SVC ETF 464287770 362 2656 SH SOLE 0 0 2656 ISHARES TR CORE S&P SCP ETF 464287804 227 2919 SH SOLE 0 0 2919 ISHARES TR U.S. CNSM GD ETF 464287812 503 4094 SH SOLE 0 0 4094 ISHARES TR GL CLEAN ENE ETF 464288224 169 15561 SH SOLE 0 0 15561 ISHARES TR NATIONAL MUN ETF 464288414 239 2107 SH SOLE 0 0 2107 ISHARES TR PFD AND INCM SEC 464288687 412 11206 SH SOLE 0 0 11206 ISHARES TR GLOB UTILITS ETF 464288711 409 7401 SH SOLE 0 0 7401 ISHARES TR US AER DEF ETF 464288760 557 2607 SH SOLE 0 0 2607 ISHARES TR CORE MSCI EAFE 46432F842 225 3679 SH SOLE 0 0 3679 ISHARES TR ULTR SH TRM BD 46434V878 340 6754 SH SOLE 0 0 6754 JANUS DETROIT STR TR HENDRSN SHRT ETF 47103U886 224 4500 SH SOLE 0 0 4500 JOHNSON & JOHNSON COM 478160104 417 2950 SH SOLE 0 0 2950 JP MORGAN EXCHANGE TRADED FD ULTRA SHRT INC 46641Q837 852 16911 SH SOLE 0 0 16911 JPMORGAN CHASE & CO COM 46625H100 578 5101 SH SOLE 0 0 5101 JUST ENERGY GROUP INC COM 48213W101 66 15780 SH SOLE 0 0 15780 LILLY ELI & CO COM 532457108 431 3815 SH SOLE 0 0 3815 LLOYDS BANKING GROUP PLC SPONSORED ADR 539439109 39 13735 SH SOLE 0 0 13735 LULULEMON ATHLETICA INC COM 550021109 232 1246 SH SOLE 0 0 1246 MASTERCARD INC CL A 57636Q104 779 2851 SH SOLE 0 0 2851 MERCK & CO INC COM 58933Y105 297 3502 SH SOLE 0 0 3502 MICROSOFT CORP COM 594918104 2566 18801 SH SOLE 0 0 18801 MOODYS CORP COM 615369105 232 1172 SH SOLE 0 0 1172 NETFLIX INC COM 64110L106 651 1714 SH SOLE 0 0 1714 NIKE INC CL B 654106103 542 6152 SH SOLE 0 0 6152 NOKIA CORP SPONSORED ADR 654902204 76 15172 SH SOLE 0 0 15172 NVIDIA CORP COM 67066G104 1038 6600 SH SOLE 0 0 6600 OGE ENERGY CORP COM 670837103 252 5839 SH SOLE 0 0 5839 ONEOK INC NEW COM 682680103 320 4579 SH SOLE 0 0 4579 ORACLE CORP COM 68389X105 421 7062 SH SOLE 0 0 7062 PAYCOM SOFTWARE INC COM 70432V102 300 1250 SH SOLE 0 0 1250 PAYPAL HLDGS INC COM 70450Y103 521 4399 SH SOLE 0 0 4399 PEPSICO INC COM 713448108 920 6985 SH SOLE 0 0 6985 PFIZER INC COM 717081103 287 6628 SH SOLE 0 0 6628 PIMCO ETF TR 0-5 HIGH YIELD 72201R783 228 2277 SH SOLE 0 0 2277 PORTFOLIO RECOVERY ASSOCS IN NOTE 3.000% 8/0 73640QAB1 64 65000 PRN SOLE 0 0 65000 PROCTER AND GAMBLE CO COM 742718109 280 2481 SH SOLE 0 0 2481 PROSHARES TR SHORT S&P 500 NE 74347B425 1292 49215 SH SOLE 0 0 49215 PROSHARES TR S&P 500 DV ARIST 74348A467 692 9915 SH SOLE 0 0 9915 PROSPECT CAPITAL CORPORATION NOTE 4.750% 4/1 74348TAQ5 76 75000 PRN SOLE 0 0 75000 REAVES UTIL INCOME FD COM SH BEN INT 756158101 374 10358 SH SOLE 0 0 10358 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 290 5435 SH SOLE 0 0 5435 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 560 6016 SH SOLE 0 0 6016 SELECT SECTOR SPDR TR ENERGY 81369Y506 257 4071 SH SOLE 0 0 4071 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 254 9051 SH SOLE 0 0 9051 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 336 4382 SH SOLE 0 0 4382 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 283 3550 SH SOLE 0 0 3550 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 363 5964 SH SOLE 0 0 5964 SHOPIFY INC CL A 82509L107 245 760 SH SOLE 0 0 760 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 377 7367 SH SOLE 0 0 7367 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 567 14415 SH SOLE 0 0 14415 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 453 15388 SH SOLE 0 0 15388 SPDR S&P 500 ETF TR TR UNIT 78462F103 2287 7697 SH SOLE 0 0 7697 SPDR SERIES TRUST WELLS FG PFD ETF 78464A292 1115 25814 SH SOLE 0 0 25814 SPDR SERIES TRUST PORTFOLIO AGRGTE 78464A649 218 7501 SH SOLE 0 0 7501 SPDR SERIES TRUST S&P DIVID ETF 78464A763 230 2265 SH SOLE 0 0 2265 SPDR SERIES TRUST PORTFOLIO LR ETF 78464A854 735 20989 SH SOLE 0 0 20989 SPDR SERIES TRUST RUSSELL YIELD 78468R770 439 6228 SH SOLE 0 0 6228 SPDR SERIES TRUST PRTFLO S&P500 HI 78468R788 703 18367 SH SOLE 0 0 18367 SSGA ACTIVE ETF TR BLKSTN GSOSRLN 78467V608 599 13003 SH SOLE 0 0 13003 SVB FINL GROUP COM 78486Q101 498 2288 SH SOLE 0 0 2288 TD AMERITRADE HLDG CORP COM 87236Y108 614 11985 SH SOLE 0 0 11985 THERAPEUTICSMD INC COM 88338N107 26 10000 SH SOLE 0 0 10000 UBER TECHNOLOGIES INC COM 90353T100 585 13224 SH SOLE 0 0 13224 UNIVERSAL HLTH SVCS INC CL B 913903100 1067 8281 SH SOLE 0 0 8281 VANECK VECTORS ETF TR FALLEN ANGEL HG 92189F437 231 7916 SH SOLE 0 0 7916 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 1148 13883 SH SOLE 0 0 13883 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 494 8584 SH SOLE 0 0 8584 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 1112 4073 SH SOLE 0 0 4073 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 573 3773 SH SOLE 0 0 3773 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 345 3823 SH SOLE 0 0 3823 VANGUARD INDEX FDS SML CP GRW ETF 922908595 215 1140 SH SOLE 0 0 1140 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 1228 10267 SH SOLE 0 0 10267 VANGUARD INDEX FDS GROWTH ETF 922908736 810 4862 SH SOLE 0 0 4862 VANGUARD INDEX FDS SMALL CP ETF 922908751 1113 7072 SH SOLE 0 0 7072 VANGUARD INDEX FDS TOTAL STK MKT 922908769 3841 25273 SH SOLE 0 0 25273 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 662 15554 SH SOLE 0 0 15554 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 458 5699 SH SOLE 0 0 5699 VANGUARD STAR FD VG TL INTL STK F 921909768 1772 33717 SH SOLE 0 0 33717 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 510 12292 SH SOLE 0 0 12292 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 1422 16139 SH SOLE 0 0 16139 VANGUARD WORLD FDS INF TECH ETF 92204A702 373 1735 SH SOLE 0 0 1735 VERIZON COMMUNICATIONS INC COM 92343V104 240 4261 SH SOLE 0 0 4261 VISA INC COM CL A 92826C839 582 3275 SH SOLE 0 0 3275 WASTE MGMT INC DEL COM 94106L109 613 5239 SH SOLE 0 0 5239 WEIBO CORP SPONSORED ADR 948596101 378 8738 SH SOLE 0 0 8738 WELLS FARGO UTILITIES AND HI WF UTILITIES INC 94987E109 261 20227 SH SOLE 0 0 20227 ZEBRA TECHNOLOGIES CORP CL A 989207105 1211 5718 SH SOLE 0 0 5718 ZOETIS INC CL A 98978V103 1448 12784 SH SOLE 0 0 12784 ZOOM VIDEO COMMUNICATIONS IN CL A 98980L101 252 2770 SH SOLE 0 0 2770