DFPG Relationship & Services Disclosure

As a client of DFPG Investments, LLC, you benefit from the broad scope of services and resources of a leading financial services firm, whether we serve you as a broker-dealer, investment advisor, or both. While there are similarities between the brokerage and advisory services we provide, there are important differences, including the pricing structures and monitoring levels for these services. Below are details regarding DFPG’s brokerage services.

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Social Media Disclosures

Membership Disclosure

Securities and Investment Advisory Services offered through DFPG Investments, Inc., Member FINRA/SIPC.

Third Party Posts

Third-party posts that appear on this social media site have not been reviewed or approved by DFPG Investments, Inc. or its principals for completeness or accuracy. Additionally, it should be noted the information that has been posted by third-parties does not necessarily reflect the views or opinions of DFPG Investments, Inc. or its representatives.

Not An Offer To Sell Nor Solicitation To Buy

The DFPG branch company profile is for informational purposes only and its contents constitute neither an offer to sell nor a solicitation of an offer to buy securities, as such an offer can be made only by prospectus. The information on this social media site alone cannot, and should not be used in making investment decisions. Investors should carefully consider the investment objectives, risks, charges and expenses associated with any investment.

Past Performance

Past performance of investments is no indication of future results.

Tax And Legal Advice

Information found on this social media site is not intended to be a substitute for specific individualized tax advice. We suggest that you discuss your specific tax issues with a qualified tax advisor. Neither the named Broker Dealer nor the named Investment Advisor offers tax or legal advice.

Direct Messaging Disclosure

DFPG Investments, Inc. is not responsible for content posted by third parties. DFPG Investments, Inc. and third parties acting on its behalf, reserve the right, to the extent permitted under applicable law, to process, retain and monitor all electronic communications (including personally identifiable information). By sending direct messages and/or posting comments, you unequivocally consent to such processing, retention and monitoring.

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DFPG Business Continuity Plan

DFPG Investments, Inc. (“DFPG Investments” or “DFPG”) is a dually registered broker-dealer and investment adviser with over 127 advisers throughout the country serving primarily retail clients. DFPG’s Home Office is based in Sandy, Utah.

In addition to the Home Office, DFPG has fifty-six branch office locations throughout the United States. A branch office roster is included in Exhibit 01. Branch personnel are independent contractors and the branch offices are independently owned and operated by the Branch Managers. It is DFPG’s policy for each branch to develop and document their own Business Continuity Plan. This plan covers DFPG’s home office operations.

DFPG does not maintain Customer funds on deposit or hold Customer securities for safekeeping.

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DFPG Form ADV Part 2A

This Brochure provides information about the qualifications and business practices of DFPG Investments, LLC. If you have any questions about the contents of this Brochure, please contact DFPG at 801.838.9999. The information in this Brochure has not been approved or verified by the United States Securities and Exchange Commission, FINRA, or by any state or local securities authority.

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DFPG Form CRS - RIA

As a Registered Investment Advisor, DFPG Investments, LLC (“DFPG”) offers investment management services, including through wrap-fee programs, as well as financial planning. Investment management services are those where our financial professionals manage the assets in your account through the selection and implementation of investment strategies. Financial planning services involve our professionals performing an analysis of your financial circumstances and goals, and providing recommendations for steps to implement the agreed-upon plan.

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DFPG Form CRS - BD

As a Broker-Dealer, DFPG Investments, LLC (“DFPG”) offers recommendations regarding investments and facilitates the purchase and sale of securities. These securities include stocks, bonds, mutual funds, exchange-traded funds (ETFs), annuities, and alternative investments, such as real estate investment trusts (REITs), business development companies (BDCs), private placements, and 1031 exchanges. We facilitate purchases and sales of securities in both retirement and non-retirement accounts, and we may recommend a particular account type based on your circumstances. DFPG does not directly hold your assets, but rather they will be held either directly with a product sponsor, or at a qualified custodian.

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