Director IA Compliance

0001085146-19-002526.txt : 20191015 0001085146-19-002526.hdr.sgml : 20191015 20191015105746 ACCESSION NUMBER: 0001085146-19-002526 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191015 DATE AS OF CHANGE: 20191015 EFFECTIVENESS DATE: 20191015 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: 191149987 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 FORMER COMPANY: FORMER CONFORMED NAME: DFPG INVESTMENTS, LLC DATE OF NAME CHANGE: 20190812 FORMER COMPANY: FORMER CONFORMED NAME: DFPG INVESTMENTS, INC. DATE OF NAME CHANGE: 20101029 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001504665 XXXXXXXX 09-30-2019 09-30-2019 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 10-11-2019 0 159 120988 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE ABBVIE INC COM 00287Y109 1305 17753 SH SOLE 0 0 17753 ABERDEEN ASIA PACIFIC INCOM COM 003009107 92 21907 SH SOLE 0 0 21907 ACTIVISION BLIZZARD INC COM 00507V109 433 8005 SH SOLE 0 0 8005 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 916 5659 SH SOLE 0 0 5659 ALPHABET INC CAP STK CL C 02079K107 422 355 SH SOLE 0 0 355 ALPHABET INC CAP STK CL A 02079K305 2096 1761 SH SOLE 0 0 1761 ALPS ETF TR RIVRFRNT STR INC 00162Q783 217 8707 SH SOLE 0 0 8707 ALPS ETF TR ALERIAN MLP 00162Q866 159 17962 SH SOLE 0 0 17962 AMAZON COM INC COM 023135106 2287 1341 SH SOLE 0 0 1341 AMERICAN FIN TR INC COM CLASS A 02607T109 1598 114658 SH SOLE 0 0 114658 AMERICOLD RLTY TR COM 03064D108 501 13371 SH SOLE 0 0 13371 AMGEN INC COM 031162100 271 1381 SH SOLE 0 0 1381 APOLLO INVT CORP COM NEW 03761U502 205 13321 SH SOLE 0 0 13321 APPLE INC COM 037833100 4487 19996 SH SOLE 0 0 19996 AQUA AMERICA INC COM 03836W103 631 14011 SH SOLE 0 0 14011 ARCTURUS THERAPEUTICS HLDG I COM 03969T109 4802 460450 SH SOLE 0 0 460450 ARES CAP CORP COM 04010L103 536 29443 SH SOLE 0 0 29443 AT&T INC COM 00206R102 17 10000 SH Call SOLE 0 0 10000 AT&T INC COM 00206R102 1008 26904 SH SOLE 0 0 26904 AVAYA HLDGS CORP COM 05351X101 509 38998 SH SOLE 0 0 38998 BAIDU INC SPON ADR REP A 056752108 275 2762 SH SOLE 0 0 2762 BANK AMER CORP COM 060505104 908 32849 SH SOLE 0 0 32849 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 2344 11487 SH SOLE 0 0 11487 BLACKROCK CORPOR HI YLD FD I COM 09255P107 187 17655 SH SOLE 0 0 17655 BLACKSTONE GROUP INC COM CL A 09260D107 1052 23061 SH SOLE 0 0 23061 BOEING CO COM 097023105 375 1003 SH SOLE 0 0 1003 BROADCOM INC COM 11135F101 282 1042 SH SOLE 0 0 1042 CALAMOS CONV OPP AND INC FD SH BEN INT 128117108 121 11590 SH SOLE 0 0 11590 CENTENE CORP DEL COM 15135B101 523 12240 SH SOLE 0 0 12240 CHEVRON CORP NEW COM 166764100 455 4069 SH SOLE 0 0 4069 CISCO SYS INC COM 17275R102 375 8075 SH SOLE 0 0 8075 COCA COLA CO COM 191216100 1087 20285 SH SOLE 0 0 20285 COHEN & STEERS INFRASTRUCTUR COM 19248A109 238 9196 SH SOLE 0 0 9196 COLONY CR REAL ESTATE INC COM CL A 19625T101 962 70021 SH SOLE 0 0 70021 COSTCO WHSL CORP NEW COM 22160K105 220 755 SH SOLE 0 0 755 DELTA AIR LINES INC DEL COM NEW 247361702 481 9040 SH SOLE 0 0 9040 DISNEY WALT CO COM DISNEY 254687106 994 7738 SH SOLE 0 0 7738 DOMINION ENERGY INC COM 25746U109 251 3109 SH SOLE 0 0 3109 EATON VANCE LTD DUR INCOME F COM 27828H105 156 12476 SH SOLE 0 0 12476 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 236 19127 SH SOLE 0 0 19127 FACEBOOK INC CL A 30303M102 983 5530 SH SOLE 0 0 5530 FIDELITY COVINGTON TR MSCI CONSM DIS 316092204 386 8667 SH SOLE 0 0 8667 FIDELITY COVINGTON TR MSCI INDL INDX 316092709 300 7897 SH SOLE 0 0 7897 FIDELITY COVINGTON TR MSCI INFO TECH I 316092808 485 7774 SH SOLE 0 0 7774 FIRST TR EXCH TRD ALPHA FD I EUROPE ALPHADEX 33737J117 591 17853 SH SOLE 0 0 17853 FIRST TR EXCHANGE TRADED FD US EQTY OPPT ETF 336920103 454 6142 SH SOLE 0 0 6142 FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 329 6978 SH SOLE 0 0 6978 FIRST TR EXCHANGE TRADED FD FIRST TR TA HIYL 33738D408 353 7363 SH SOLE 0 0 7363 FIRST TR EXCHANGE TRADED FD RISNG DIVD ACHIV 33738R506 443 14471 SH SOLE 0 0 14471 FIRST TR EXCHANGE TRADED FD FST LOW OPPT EFT 33739Q200 1328 25494 SH SOLE 0 0 25494 FIRST TR EXCHANGE TRADED FD FT STRG INCM ETF 33739Q309 871 17295 SH SOLE 0 0 17295 FIRST TR EXCHANGE TRADED FD FIRST TR ENH NEW 33739Q408 2597 43195 SH SOLE 0 0 43195 FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 398 8140 SH SOLE 0 0 8140 FIRST TR VALUE LINE DIVID IN SHS 33734H106 1559 46165 SH SOLE 0 0 46165 FLEXSHARES TR INT QLTDVDYNAM 33939L829 265 11315 SH SOLE 0 0 11315 FS KKR CAPITAL CORP COM 302635107 1006 177449 SH SOLE 0 0 177449 GLOBAL NET LEASE INC COM NEW 379378201 235 12052 SH SOLE 0 0 12052 GLOBAL X FDS NASDAQ 100 COVER 37954Y483 946 42385 SH SOLE 0 0 42385 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 1711 16469 SH SOLE 0 0 16469 INVESCO EXCHANGE TRADED FD T S&P500 EQL STP 46137V373 885 6451 SH SOLE 0 0 6451 INVESCO QQQ TR UNIT SER 1 46090E103 2852 15383 SH SOLE 0 0 15383 IQIYI INC SPONSORED ADS 46267X108 161 10270 SH SOLE 0 0 10270 ISHARES TR CORE US AGGBD ET 464287226 226 1991 SH SOLE 0 0 1991 ISHARES TR IBOXX INV CP ETF 464287242 328 2569 SH SOLE 0 0 2569 ISHARES TR S&P 500 GRWT ETF 464287309 265 1511 SH SOLE 0 0 1511 ISHARES TR 1 3 YR TREAS BD 464287457 206 2419 SH SOLE 0 0 2419 ISHARES TR CORE S&P MCP ETF 464287507 217 1170 SH SOLE 0 0 1170 ISHARES TR U.S. FIN SVC ETF 464287770 394 3015 SH SOLE 0 0 3015 ISHARES TR U.S. CNSM GD ETF 464287812 714 5780 SH SOLE 0 0 5780 ISHARES TR GL CLEAN ENE ETF 464288224 239 21893 SH SOLE 0 0 21893 ISHARES TR NATIONAL MUN ETF 464288414 239 2088 SH SOLE 0 0 2088 ISHARES TR MBS ETF 464288588 239 2205 SH SOLE 0 0 2205 ISHARES TR PFD AND INCM SEC 464288687 301 8104 SH SOLE 0 0 8104 ISHARES TR GLOB UTILITS ETF 464288711 636 11066 SH SOLE 0 0 11066 ISHARES TR US AER DEF ETF 464288760 644 2951 SH SOLE 0 0 2951 ISHARES TR ULTR SH TRM BD 46434V878 2752 54673 SH SOLE 0 0 54673 JOHN HANCOCK ETF TRUST MLTFACTR UTILS 47804J867 309 9045 SH SOLE 0 0 9045 JOHNSON & JOHNSON COM 478160104 359 2725 SH SOLE 0 0 2725 JP MORGAN EXCHANGE TRADED FD ULTRA SHRT INC 46641Q837 954 18902 SH SOLE 0 0 18902 JPMORGAN CHASE & CO COM 46625H100 1335 11941 SH SOLE 0 0 11941 JUST ENERGY GROUP INC COM 48213W101 27 12720 SH SOLE 0 0 12720 L3HARRIS TECHNOLOGIES INC COM 502431109 234 1117 SH SOLE 0 0 1117 LAZARD LTD SHS A G54050102 466 13329 SH SOLE 0 0 13329 LILLY ELI & CO COM 532457108 420 3920 SH SOLE 0 0 3920 LOCKHEED MARTIN CORP COM 539830109 247 646 SH SOLE 0 0 646 LULULEMON ATHLETICA INC COM 550021109 534 2793 SH SOLE 0 0 2793 MASTERCARD INC CL A 57636Q104 890 3333 SH SOLE 0 0 3333 MERCK & CO INC COM 58933Y105 241 2896 SH SOLE 0 0 2896 MICROSOFT CORP COM 594918104 2500 18426 SH SOLE 0 0 18426 NETFLIX INC COM 64110L106 401 1480 SH SOLE 0 0 1480 NIKE INC CL B 654106103 380 4146 SH SOLE 0 0 4146 NOKIA CORP SPONSORED ADR 654902204 77 15620 SH SOLE 0 0 15620 OGE ENERGY CORP COM 670837103 254 5839 SH SOLE 0 0 5839 ONEOK INC NEW COM 682680103 350 5125 SH SOLE 0 0 5125 ORACLE CORP COM 68389X105 301 5565 SH SOLE 0 0 5565 PAYCOM SOFTWARE INC COM 70432V102 678 3267 SH SOLE 0 0 3267 PAYPAL HLDGS INC COM 70450Y103 576 5794 SH SOLE 0 0 5794 PEPSICO INC COM 713448108 1130 8231 SH SOLE 0 0 8231 PIMCO ETF TR 0-5 HIGH YIELD 72201R783 227 2305 SH SOLE 0 0 2305 PORTFOLIO RECOVERY ASSOCS IN NOTE 3.000% 8/0 73640QAB1 60 60000 PRN SOLE 0 0 60000 PROCTER & GAMBLE CO COM 742718109 207 1714 SH SOLE 0 0 1714 PROSHARES TR ULTRASHRT S&P500 74347B383 577 18533 SH SOLE 0 0 18533 PROSHARES TR SHORT S&P 500 NE 74347B425 1454 54076 SH SOLE 0 0 54076 PROSHARES TR S&P 500 DV ARIST 74348A467 697 10112 SH SOLE 0 0 10112 PROSPECT CAPITAL CORPORATION NOTE 4.750% 4/1 74348TAQ5 70 70000 PRN SOLE 0 0 70000 REAVES UTIL INCOME FD COM SH BEN INT 756158101 352 9836 SH SOLE 0 0 9836 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 287 5437 SH SOLE 0 0 5437 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 551 6252 SH SOLE 0 0 6252 SELECT SECTOR SPDR TR ENERGY 81369Y506 233 4171 SH SOLE 0 0 4171 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 222 8305 SH SOLE 0 0 8305 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 507 6848 SH SOLE 0 0 6848 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 595 9316 SH SOLE 0 0 9316 SHOPIFY INC CL A 82509L107 951 3057 SH SOLE 0 0 3057 SPDR GOLD TRUST GOLD SHS 78463V107 794 5596 SH SOLE 0 0 5596 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 350 6760 SH SOLE 0 0 6760 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 440 11407 SH SOLE 0 0 11407 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 481 16825 SH SOLE 0 0 16825 SPDR S&P 500 ETF TR TR UNIT 78462F103 2087 7234 SH SOLE 0 0 7234 SPDR SERIES TRUST WELLS FG PFD ETF 78464A292 1149 26129 SH SOLE 0 0 26129 SPDR SERIES TRUST PRTFLO S&P500 VL 78464A508 239 7727 SH SOLE 0 0 7727 SPDR SERIES TRUST PORTFOLIO AGRGTE 78464A649 219 7352 SH SOLE 0 0 7352 SPDR SERIES TRUST S&P DIVID ETF 78464A763 213 2158 SH SOLE 0 0 2158 SPDR SERIES TRUST PORTFOLIO LR ETF 78464A854 754 22243 SH SOLE 0 0 22243 SPDR SERIES TRUST RUSSELL YIELD 78468R770 415 6176 SH SOLE 0 0 6176 SPDR SERIES TRUST PRTFLO S&P500 HI 78468R788 708 19428 SH SOLE 0 0 19428 SSGA ACTIVE ETF TR BLKSTN GSOSRLN 78467V608 660 14410 SH SOLE 0 0 14410 STAAR SURGICAL CO COM PAR $0.01 852312305 295 12000 SH SOLE 0 0 12000 STARBUCKS CORP COM 855244109 209 2459 SH SOLE 0 0 2459 TD AMERITRADE HLDG CORP COM 87236Y108 571 17082 SH SOLE 0 0 17082 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS 881624209 68 10400 SH SOLE 0 0 10400 THERAPEUTICSMD INC COM 88338N107 36 10000 SH SOLE 0 0 10000 TWILIO INC CL A 90138F102 480 4424 SH SOLE 0 0 4424 UBER TECHNOLOGIES INC COM 90353T100 378 12896 SH SOLE 0 0 12896 UNIVERSAL HLTH SVCS INC CL B 913903100 1486 10376 SH SOLE 0 0 10376 VANECK VECTORS ETF TR FALLEN ANGEL HG 92189F437 235 8136 SH SOLE 0 0 8136 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 210 2589 SH SOLE 0 0 2589 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 2363 27884 SH SOLE 0 0 27884 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 1015 17249 SH SOLE 0 0 17249 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 924 3488 SH SOLE 0 0 3488 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 544 3773 SH SOLE 0 0 3773 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 345 3716 SH SOLE 0 0 3716 VANGUARD INDEX FDS SML CP GRW ETF 922908595 215 1210 SH SOLE 0 0 1210 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 1089 9655 SH SOLE 0 0 9655 VANGUARD INDEX FDS GROWTH ETF 922908736 815 5003 SH SOLE 0 0 5003 VANGUARD INDEX FDS SMALL CP ETF 922908751 961 6450 SH SOLE 0 0 6450 VANGUARD INDEX FDS TOTAL STK MKT 922908769 7767 52935 SH SOLE 0 0 52935 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 382 9583 SH SOLE 0 0 9583 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 606 7457 SH SOLE 0 0 7457 VANGUARD STAR FD VG TL INTL STK F 921909768 4248 84080 SH SOLE 0 0 84080 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 318 7945 SH SOLE 0 0 7945 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 1365 15904 SH SOLE 0 0 15904 VANGUARD WORLD FDS INF TECH ETF 92204A702 404 1916 SH SOLE 0 0 1916 VERIZON COMMUNICATIONS INC COM 92343V104 211 3531 SH SOLE 0 0 3531 VISA INC COM CL A 92826C839 792 4593 SH SOLE 0 0 4593 WASTE MGMT INC DEL COM 94106L109 753 6559 SH SOLE 0 0 6559 WEIBO CORP SPONSORED ADR 948596101 386 8335 SH SOLE 0 0 8335 WELLS FARGO UTILITIES AND HI WF UTILITIES INC 94987E109 253 18907 SH SOLE 0 0 18907 ZOETIS INC CL A 98978V103 2173 17332 SH SOLE 0 0 17332 ZOOM VIDEO COMMUNICATIONS IN CL A 98980L101 377 5122 SH SOLE 0 0 5122