Director IA Compliance

0001085146-20-001153.txt : 20200417 0001085146-20-001153.hdr.sgml : 20200417 20200417172254 ACCESSION NUMBER: 0001085146-20-001153 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200417 DATE AS OF CHANGE: 20200417 EFFECTIVENESS DATE: 20200417 FILER: COMPANY DATA: COMPANY CONFORMED NAME: DFPG INVESTMENTS, LLC 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: 20800622 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, INC. DATE OF NAME CHANGE: 20190822 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 03-31-2020 03-31-2020 false DFPG INVESTMENTS, LLC

9017 S RIVERSIDE DRIVE SUITE 210 SANDY UT 84070

13F COMBINATION REPORT 028-18973 0001761755 028-19141 TOWNSQUARE CAPITAL LLC N Craig Watanabe Director IA Compliance 626-818-7640 /s/ Craig Watanabe Sandy UT 04-17-2020 0 158 134150 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE ABERDEEN ASIA-PACIFIC INCOME COM 003009107 53 15294 SH SOLE 0 0 15294 ADOBE INC COM 00724F101 201 604 SH SOLE 0 0 604 ADVANCED MICRO DEVICES INC COM 007903107 799 14535 SH SOLE 0 0 14535 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 1107 5318 SH SOLE 0 0 5318 ALPHABET INC CAP STK CL A 02079K305 2344 1864 SH SOLE 0 0 1864 ALPHABET INC CAP STK CL C 02079K107 442 350 SH SOLE 0 0 350 ALPHATEC HLDGS INC COM NEW 02081G201 48 12657 SH SOLE 0 0 12657 ALPS ETF TR RIVRFRNT STR INC 00162Q783 205 8787 SH SOLE 0 0 8787 AMAZON COM INC COM 023135106 3928 1702 SH SOLE 0 0 1702 AMERICAN AIRLS GROUP INC COM 02376R102 184 14983 SH SOLE 0 0 14983 AMERICAN FIN TR INC COM CLASS A 02607T109 455 67534 SH SOLE 0 0 67534 AMERICOLD RLTY TR COM 03064D108 560 16936 SH SOLE 0 0 16936 AMGEN INC COM 031162100 275 1239 SH SOLE 0 0 1239 APOLLO INVT CORP COM NEW 03761U502 99 12240 SH SOLE 0 0 12240 APPLE INC COM 037833100 5798 20383 SH SOLE 0 0 20383 ARCTURUS THERAPEUTICS HLDG I COM 03969T109 5702 316784 SH SOLE 0 0 316784 ARES CAPITAL CORP COM 04010L103 356 29311 SH SOLE 0 0 29311 AT&T INC COM 00206R102 888 29521 SH SOLE 0 0 29521 AVAYA HLDGS CORP COM 05351X101 366 41937 SH SOLE 0 0 41937 AVAYA HLDGS CORP COM 05351X101 12 10000 SH Call SOLE 0 0 10000 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 2273 12052 SH SOLE 0 0 12052 BK OF AMERICA CORP COM 060505104 795 35816 SH SOLE 0 0 35816 BLACKROCK CORPOR HI YLD FD I COM 09255P107 145 15445 SH SOLE 0 0 15445 BLACKSTONE GROUP INC COM CL A 09260D107 953 20953 SH SOLE 0 0 20953 BOEING CO COM 097023105 437 2995 SH SOLE 0 0 2995 BROADCOM INC COM 11135F101 731 2838 SH SOLE 0 0 2838 CARNIVAL CORP UNIT 99/99/9999 143658300 192 15517 SH SOLE 0 0 15517 CENTENE CORP DEL COM 15135B101 685 9919 SH SOLE 0 0 9919 CHEVRON CORP NEW COM 166764100 320 3877 SH SOLE 0 0 3877 CISCO SYS INC COM 17275R102 423 10177 SH SOLE 0 0 10177 COCA COLA CO COM 191216100 1109 23290 SH SOLE 0 0 23290 COLONY CR REAL ESTATE INC COM CL A 19625T101 258 66891 SH SOLE 0 0 66891 COSTCO WHSL CORP NEW COM 22160K105 736 2371 SH SOLE 0 0 2371 DANAHER CORPORATION COM 235851102 221 1446 SH SOLE 0 0 1446 DISNEY WALT CO COM DISNEY 254687106 964 9321 SH SOLE 0 0 9321 DOMINION ENERGY INC COM 25746U109 205 2572 SH SOLE 0 0 2572 ESSENTIAL UTILS INC COM 29670G102 857 20401 SH SOLE 0 0 20401 ETF SER SOLUTIONS US GLB JETS 26922A842 208 14096 SH SOLE 0 0 14096 EXTRA SPACE STORAGE INC COM 30225T102 576 6194 SH SOLE 0 0 6194 EXXON MOBIL CORP COM 30231G102 272 6731 SH SOLE 0 0 6731 FACEBOOK INC CL A 30303M102 745 4211 SH SOLE 0 0 4211 FIDELITY COVINGTON TR MSCI CONSM DIS 316092204 391 9233 SH SOLE 0 0 9233 FIDELITY COVINGTON TR MSCI INDL INDX 316092709 268 8538 SH SOLE 0 0 8538 FIDELITY COVINGTON TR MSCI INFO TECH I 316092808 542 7997 SH SOLE 0 0 7997 FIRST TR EXCHANGE TRADED ALP EUROPE ALPHADEX 33737J117 414 15765 SH SOLE 0 0 15765 FIRST TR EXCHANGE TRADED FD CLOUD COMPUTING 33734X192 246 4194 SH SOLE 0 0 4194 FIRST TR EXCHANGE TRADED FD US EQTY OPPT ETF 336920103 408 5956 SH SOLE 0 0 5956 FIRST TR EXCHANGE-TRADED FD FIRST TR ENH NEW 33739Q408 12458 209561 SH SOLE 0 0 209561 FIRST TR EXCHANGE-TRADED FD FIRST TR TA HIYL 33738D408 321 7028 SH SOLE 0 0 7028 FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 33739Q200 1621 31456 SH SOLE 0 0 31456 FIRST TR EXCHANGE-TRADED FD FT STRG INCM ETF 33739Q309 674 15723 SH SOLE 0 0 15723 FIRST TR EXCHANGE-TRADED FD RISNG DIVD ACHIV 33738R506 392 14474 SH SOLE 0 0 14474 FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 282 6354 SH SOLE 0 0 6354 FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 316 8142 SH SOLE 0 0 8142 FIRST TR VALUE LINE DIVID IN SHS 33734H106 1227 42572 SH SOLE 0 0 42572 FLEXSHARES TR INT QLTDVDYNAM 33939L829 223 11315 SH SOLE 0 0 11315 FS KKR CAPITAL CORP COM 302635107 613 166086 SH SOLE 0 0 166086 GLOBAL NET LEASE INC COM NEW 379378201 201 14710 SH SOLE 0 0 14710 GLOBAL X FDS NASDAQ 100 COVER 37954Y483 568 28776 SH SOLE 0 0 28776 GOLDMAN SACHS GROUP INC COM 38141G104 214 1197 SH SOLE 0 0 1197 HEALTHEQUITY INC COM 42226A107 4613 100650 SH SOLE 0 0 100650 INNOVATOR ETFS TR S&P 500 BUFETF 45782C771 1531 64410 SH SOLE 0 0 64410 INNOVATOR ETFS TR S&P 500 POWER 45782C417 1356 60000 SH SOLE 0 0 60000 INTERNATIONAL BUSINESS MACHS COM 459200101 201 1690 SH SOLE 0 0 1690 INVESCO EXCHANGE TRADED FD T S&P500 EQL MAT 46137V316 496 5642 SH SOLE 0 0 5642 INVESCO EXCHANGE TRADED FD T S&P500 EQL STP 46137V373 855 6397 SH SOLE 0 0 6397 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 1433 15993 SH SOLE 0 0 15993 INVESCO QQQ TR UNIT SER 1 46090E103 3773 18015 SH SOLE 0 0 18015 ISHARES TR CORE S&P500 ETF 464287200 223 799 SH SOLE 0 0 799 ISHARES TR PFD AND INCM SEC 464288687 223 6659 SH SOLE 0 0 6659 ISHARES TR S&P 500 GRWT ETF 464287309 279 1552 SH SOLE 0 0 1552 ISHARES TR U.S. FIN SVC ETF 464287770 335 3155 SH SOLE 0 0 3155 ISHARES TR ULTR SH TRM BD 46434V878 2537 50460 SH SOLE 0 0 50460 ISHARES TR US AER DEF ETF 464288760 863 5752 SH SOLE 0 0 5752 ISHARES U S ETF TR HEALTHCARE 46431W689 612 20905 SH SOLE 0 0 20905 J P MORGAN EXCHANGE-TRADED F ULTRA SHRT INC 46641Q837 1086 21693 SH SOLE 0 0 21693 JOHN HANCOCK ETF TRUST MLTFACTR UTILS 47804J867 293 9832 SH SOLE 0 0 9832 JOHNSON & JOHNSON COM 478160104 325 2203 SH SOLE 0 0 2203 JPMORGAN CHASE & CO COM 46625H100 1324 14579 SH SOLE 0 0 14579 L3HARRIS TECHNOLOGIES INC COM 502431109 215 1102 SH SOLE 0 0 1102 LILLY ELI & CO COM 532457108 550 3636 SH SOLE 0 0 3636 LULULEMON ATHLETICA INC COM 550021109 337 1620 SH SOLE 0 0 1620 MASTERCARD INC CL A 57636Q104 753 2928 SH SOLE 0 0 2928 MCDONALDS CORP COM 580135101 246 1385 SH SOLE 0 0 1385 MGM RESORTS INTERNATIONAL COM 552953101 177 12295 SH SOLE 0 0 12295 MICROSOFT CORP COM 594918104 3425 19925 SH SOLE 0 0 19925 NETFLIX INC COM 64110L106 722 1692 SH SOLE 0 0 1692 NVIDIA CORP COM 67066G104 985 3507 SH SOLE 0 0 3507 OCCIDENTAL PETE CORP COM 674599105 261 19194 SH SOLE 0 0 19194 OGE ENERGY CORP COM 670837103 350 11229 SH SOLE 0 0 11229 ORACLE CORP COM 68389X105 247 4655 SH SOLE 0 0 4655 OUTLOOK THERAPEUTICS INC COM NEW 69012T206 25 34750 SH SOLE 0 0 34750 PAYCOM SOFTWARE INC COM 70432V102 868 3835 SH SOLE 0 0 3835 PAYPAL HLDGS INC COM 70450Y103 442 4097 SH SOLE 0 0 4097 PEPSICO INC COM 713448108 1232 9127 SH SOLE 0 0 9127 PROCTER & GAMBLE CO COM 742718109 241 1985 SH SOLE 0 0 1985 PROSHARES TR S&P 500 DV ARIST 74348A467 1288 21048 SH SOLE 0 0 21048 PROSHARES TR SHORT S&P 500 NE 74347B425 1309 51575 SH SOLE 0 0 51575 QUALCOMM INC COM 747525103 214 2816 SH SOLE 0 0 2816 REAVES UTIL INCOME FD COM SH BEN INT 756158101 252 8505 SH SOLE 0 0 8505 RED ROCK RESORTS INC CL A 75700L108 142 13786 SH SOLE 0 0 13786 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 268 5555 SH SOLE 0 0 5555 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 627 6487 SH SOLE 0 0 6487 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 602 9892 SH SOLE 0 0 9892 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 1230 20973 SH SOLE 0 0 20973 SHAKE SHACK INC CL A 819047101 229 5337 SH SOLE 0 0 5337 SHOPIFY INC CL A 82509L107 1821 3663 SH SOLE 0 0 3663 SPDR GOLD TRUST GOLD SHS 78463V107 1240 7661 SH SOLE 0 0 7661 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 248 6630 SH SOLE 0 0 6630 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 368 15070 SH SOLE 0 0 15070 SPDR S&P 500 ETF TR TR UNIT 78462F103 1835 6608 SH SOLE 0 0 6608 SPDR SER TR PORTFOLIO S&P500 78464A854 649 19910 SH SOLE 0 0 19910 SPDR SER TR PRTFLO S&P500 GW 78464A409 349 8978 SH SOLE 0 0 8978 SPDR SER TR PRTFLO S&P500 HI 78468R788 477 18254 SH SOLE 0 0 18254 SPDR SER TR PRTFLO S&P500 VL 78464A508 333 12092 SH SOLE 0 0 12092 SPDR SER TR RUSSELL YIELD 78468R770 273 5463 SH SOLE 0 0 5463 SPDR SER TR S&P DIVID ETF 78464A763 337 4024 SH SOLE 0 0 4024 SPDR SER TR WELLS FG PFD ETF 78464A292 920 22338 SH SOLE 0 0 22338 SSGA ACTIVE ETF TR BLKSTN GSOSRLN 78467V608 692 16422 SH SOLE 0 0 16422 STAAR SURGICAL CO COM PAR $0.01 852312305 468 13000 SH SOLE 0 0 13000 TARGET CORP COM 87612E106 697 6558 SH SOLE 0 0 6558 TD AMERITRADE HLDG CORP COM 87236Y108 568 15855 SH SOLE 0 0 15855 TENNECO INC CL A VTG COM STK 880349105 75 20000 SH SOLE 0 0 20000 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS 881624209 1023 101675 SH SOLE 0 0 101675 THERAPEUTICSMD INC COM 88338N107 9 10000 SH SOLE 0 0 10000 TILRAY INC COM CL 2 88688T100 68 10000 SH SOLE 0 0 10000 TWILIO INC CL A 90138F102 686 6801 SH SOLE 0 0 6801 UBER TECHNOLOGIES INC COM 90353T100 726 26478 SH SOLE 0 0 26478 UNDER ARMOUR INC CL C 904311206 1 95 SH SOLE 0 0 95 UNDER ARMOUR INC CL C 904311206 0 20000 SH Call SOLE 0 0 20000 UNITED AIRLS HLDGS INC COM 910047109 229 7173 SH SOLE 0 0 7173 UNITED STATES OIL FUND LP UNITS 91232N108 440 99366 SH SOLE 0 0 99366 UNITED STS NAT GAS FD LP UNIT PAR 912318300 0 23 SH SOLE 0 0 23 UNITED STS NAT GAS FD LP UNIT PAR 912318300 0 30000 SH Call SOLE 0 0 30000 UNIVERSAL HLTH SVCS INC CL B 913903100 1375 13335 SH SOLE 0 0 13335 VANECK VECTORS ETF TR FALLEN ANGEL HG 92189F437 214 7817 SH SOLE 0 0 7817 VANECK VECTORS ETF TR PHARMACEUTICAL 92189F692 581 10056 SH SOLE 0 0 10056 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 2285 26072 SH SOLE 0 0 26072 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 961 16926 SH SOLE 0 0 16926 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 909 9511 SH SOLE 0 0 9511 VANGUARD INDEX FDS GROWTH ETF 922908736 823 4807 SH SOLE 0 0 4807 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 546 3957 SH SOLE 0 0 3957 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 280 3748 SH SOLE 0 0 3748 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 734 2875 SH SOLE 0 0 2875 VANGUARD INDEX FDS SMALL CP ETF 922908751 714 5927 SH SOLE 0 0 5927 VANGUARD INDEX FDS TOTAL STK MKT 922908769 3408 24600 SH SOLE 0 0 24600 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 285 8174 SH SOLE 0 0 8174 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 633 7803 SH SOLE 0 0 7803 VANGUARD STAR FDS VG TL INTL STK F 921909768 1501 34696 SH SOLE 0 0 34696 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 204 6002 SH SOLE 0 0 6002 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 1251 16618 SH SOLE 0 0 16618 VANGUARD WORLD FDS INF TECH ETF 92204A702 457 1990 SH SOLE 0 0 1990 VISA INC COM CL A 92826C839 813 4900 SH SOLE 0 0 4900 WALMART INC COM 931142103 225 1744 SH SOLE 0 0 1744 WASTE MGMT INC DEL COM 94106L109 768 7944 SH SOLE 0 0 7944 WELLS FARGO UTILITIES AND HI WF UTILITIES INC 94987E109 178 15212 SH SOLE 0 0 15212 ZOETIS INC CL A 98978V103 1612 13017 SH SOLE 0 0 13017 ZOOM VIDEO COMMUNICATIONS IN CL A 98980L101 960 6334 SH SOLE 0 0 6334