At DFPG Advisors, accessible from DFPG.com, one of our main priorities is the privacy of our visitors. This Privacy Policy document contains types of information that is collected and recorded by DFPG Advisors and how we use it.

If you have additional questions or require more information about our Privacy Policy, do not hesitate to contact us.

Log Files

DFPG Advisors follows a standard procedure of using log files. These files log visitors when they visit websites. All hosting companies do this and a part of hosting services’ analytics. The information collected by log files include internet protocol (IP) addresses, browser type, Internet Service Provider (ISP), date and time stamp, referring/exit pages, and possibly the number of clicks. These are not linked to any information that is personally identifiable. The purpose of the information is for analyzing trends, administering the site, tracking users’ movement on the website, and gathering demographic information.

Cookies and Web Beacons

Like any other website, DFPG Advisors uses ‘cookies’. These cookies are used to store information including visitors’ preferences, and the pages on the website that the visitor accessed or visited. The information is used to optimize the users’ experience by customizing our web page content based on visitors’ browser type and/or other information.

Google DoubleClick DART Cookie

Google is one of a third-party vendor on our site. It also uses cookies, known as DART cookies, to serve ads to our site visitors based upon their visit to www.website.com and other sites on the internet. However, visitors may choose to decline the use of DART cookies by visiting the Google ad and content network Privacy Policy at the following URL – https://policies.google.com/technologies/ads

Our Advertising Partners

Some of advertisers on our site may use cookies and web beacons. Our advertising partners are listed below. Each of our advertising partners has their own Privacy Policy for their policies on user data. For easier access, we hyperlinked to their Privacy Policies below.

Privacy Policies

You may consult this list to find the Privacy Policy for each of the advertising partners of DFPG Advisors.

Third-party ad servers or ad networks uses technologies like cookies, JavaScript, or Web Beacons that are used in their respective advertisements and links that appear on DFPG Advisors, which are sent directly to users’ browser. They automatically receive your IP address when this occurs. These technologies are used to measure the effectiveness of their advertising campaigns and/or to personalize the advertising content that you see on websites that you visit.

Note that DFPG Advisors has no access to or control over these cookies that are used by third-party advertisers.

Third Party Privacy Policies

DFPG Advisors’s Privacy Policy does not apply to other advertisers or websites. Thus, we are advising you to consult the respective Privacy Policies of these third-party ad servers for more detailed information. It may include their practices and instructions about how to opt-out of certain options.

You can choose to disable cookies through your individual browser options. To know more detailed information about cookie management with specific web browsers, it can be found at the browsers’ respective websites. What Are Cookies?

Children’s Information

Another part of our priority is adding protection for children while using the internet. We encourage parents and guardians to observe, participate in, and/or monitor and guide their online activity.

DFPG Advisors does not knowingly collect any Personal Identifiable Information from children under the age of 13. If you think that your child provided this kind of information on our website, we strongly encourage you to contact us immediately and we will do our best efforts to promptly remove such information from our records.

Online Privacy Policy Only

This Privacy Policy applies only to our online activities and is valid for visitors to our website with regards to the information that they shared and/or collect in DFPG Advisors. This policy is not applicable to any information collected offline or via channels other than this website.

Consent

By using our website, you hereby consent to our Privacy Policy and agree to its Terms and Conditions.

Comments

When visitors leave comments on the site we collect the data shown in the comments form, and also the visitor’s IP address and browser user agent string to help spam detection.

An anonymized string created from your email address (also called a hash) may be provided to the Gravatar service to see if you are using it. The Gravatar service privacy policy is available here: https://automattic.com/privacy/. After approval of your comment, your profile picture is visible to the public in the context of your comment.

Media

If you upload images to the website, you should avoid uploading images with embedded location data (EXIF GPS) included. Visitors to the website can download and extract any location data from images on the website.

Cookies

If you leave a comment on our site you may opt-in to saving your name, email address and website in cookies. These are for your convenience so that you do not have to fill in your details again when you leave another comment. These cookies will last for one year.

If you visit our login page, we will set a temporary cookie to determine if your browser accepts cookies. This cookie contains no personal data and is discarded when you close your browser.

When you log in, we will also set up several cookies to save your login information and your screen display choices. Login cookies last for two days, and screen options cookies last for a year. If you select “Remember Me”, your login will persist for two weeks. If you log out of your account, the login cookies will be removed.

If you edit or publish an article, an additional cookie will be saved in your browser. This cookie includes no personal data and simply indicates the post ID of the article you just edited. It expires after 1 day.

Embedded content from other websites

Articles on this site may include embedded content (e.g. videos, images, articles, etc.). Embedded content from other websites behaves in the exact same way as if the visitor has visited the other website.

These websites may collect data about you, use cookies, embed additional third-party tracking, and monitor your interaction with that embedded content, including tracking your interaction with the embedded content if you have an account and are logged in to that website.

Who we share your data with

If you request a password reset, your IP address will be included in the reset email.

How long we retain your data

If you leave a comment, the comment and its metadata are retained indefinitely. This is so we can recognize and approve any follow-up comments automatically instead of holding them in a moderation queue.

For users that register on our website (if any), we also store the personal information they provide in their user profile. All users can see, edit, or delete their personal information at any time (except they cannot change their username). Website administrators can also see and edit that information.

What rights you have over your data

If you have an account on this site, or have left comments, you can request to receive an exported file of the personal data we hold about you, including any data you have provided to us. You can also request that we erase any personal data we hold about you. This does not include any data we are obliged to keep for administrative, legal, or security purposes.

Where your data is sent

Visitor comments may be checked through an automated spam detection service.

Customer Relationship Summary (“Form CRS”)

Per regulation, DFPG Investments, LLC (“DFPG”) is required to maintain and provide a Customer Relationship Summary (“Form CRS”), which is a brief explanation of the nature of DFPG’s role in its relationship with clients and financial professionals.

For instances in which DFPG is acting as a Broker-Dealer, DFPG’s Form CRS (BD) can be found here.

For instances in which DFPG is acting as an RIA, DFPG’s Form CRS (RIA) can be found here.

Relationship & Services Disclosure

DFPG’s Relationship & Services Disclosure provides a more thorough description of the services DFPG provides as a Broker-Dealer, how clients pay for services, and how DFPG and its financial professionals are compensated. It also explains how DFPG addresses conflicts of interest. DFPG’s Relationship & Services Disclosure can be found here.

SEC Form ADV Part 2A

As DFPG is also a Registered Investment Advisor (“RIA”), per SEC regulation, DFPG must regularly file a Form ADV, including this Part 2A Brochure. This brochure provides information about the qualifications and business practices of DFPG Investments, LLC, as an RIA. DFPG’s ADV Part 2A can be found here.

Privacy Policy

We know that keeping your personal information private is important to you. That’s why DFPG Investment, LLC wants you to know how we protect the information you share with us and the measures we take to safeguard your information.

We have built our business on a foundation of integrity, honesty, and trust. These values are reflected in our longstanding commitment to protect your privacy.

On our websites, we strive to provide you with the most comprehensive and dependable source of financial and insurance product information on the Web. You can access this information on our site with complete anonymity. Whenever you do supply personal information, such as your name, address, telephone number, or e-mail address, it is kept secure and used solely to answer your inquiry, comply with your request, or supply you with information about products and services to help you meet your needs. Having accurate information about you permits us to perform the functions and services you request or authorize, provide you with better customer service, increase the efficiency of our operations, comply with legal and regulatory requirements and inform you of updates to our Web site.

While we have taken steps to make the information you provide to us as secure as possible against unauthorized access, please keep in mind that no data transmission over the Internet is 100% secure. Any information disclosed online can potentially be intercepted and used by unauthorized parties. We cannot guarantee the privacy of any communications made over the Internet. While we maintain reasonable electronic safeguards regarding our enrolled users, we will not assume any responsibility for any harm, loss, or damage you may incur as a result of your transmittal of personal information over the Internet to or by Federated. Please note however, that we will never ask for social security numbers, bank account numbers, insurance policy numbers, etc, through our Web site.

To meet our users’ insurance and financial needs, we gather and maintain many types of information. To preserve your privacy we pledge to:

  1. Collect only the information we need to help us deliver the products and services you desire;
  2. Protect against unauthorized access to your information;
  3. Refuse to sell your information to outside mailing list companies or telemarketers;
  4. Require companies that partner with us to protect your information in accordance with strict privacy standards;
  5. Give you a choice about sharing your information for marketing purposes;
  6. Maintain up-to-date privacy notices on our Web site(s).

We generally will not give information about you to third parties without your consent, unless otherwise permitted by law. When we do disclose information we generally will disclose only what we consider reasonably necessary and no more. If necessary to conduct our business, we may give information to:

  1. our agents,
  2. our affiliates, or
  3. others who perform business services for us.

How we use cookies

When you browse our Web site, personal information – such as your name, address, telephone number and email address – is not collected through the use of cookies.

Our policy for children

We do not use our Web site to knowingly solicit information from or market to children under the age of 13.

Links to other Web sites

Our Web site contains links to other Internet sites. It is our intent to provide links only to other quality sites. However, we cannot guarantee the safety and privacy of information you provide to these linked sites. Any information collected by Web sites other than our site is not covered by this privacy policy and provisions of privacy policies contained on other Web sites may differ from the provisions of our privacy policy.

Disclosure of SEC-required order routing information:

DFPG is committed to providing our clients with competitive trade executions as well as full transparency into our order routing practices and payment for order flow.

Disclosure of SEC-required order routing information.  For purposes of SEC Regulation NMS Rule 606 (formerly Rule 11Ac1-6) DFPG Investments, LLC (“DFPG”) is required to disclose, as an introducing firm, its clearing relationship with RBC Correspondent Services (“RBC”). RBC, who acts as DFPG’s clearing firm, is required to make publicly available, quarterly reports on the firm’s order routing practices. RBC’s report provides information on the routing of “non-directed orders” which is generally defined as any order that the client has not specifically instructed to be routed to a particular venue for execution. For these non-directed orders, RBC has selected the execution venue on behalf of its clients.  RBC’s report is broken down monthly and each month is divided into three sections: one section for S&P 500 stocks, one section for non-S&P 500 stocks, one section for exchange-listed options.  For each section, RBC’s report identifies the venues most often selected by RBC, sets forth the percentage of various types of orders routed to the venues, and discusses the material aspects of RBC’s relationship with the venues.  Here is a link to the RBC Correspondent Services SEC Rule 606 Report Disclosure for 2022Q2.

Upon request, DFPG will provide the identity regarding the specific routing venue for executed orders in your account for the previous six months. To request order routing information, you may contact DFPG’s Compliance Department.

Business Continuity Plan

Per regulation, DFPG Investments, LLC is required to maintain a Business Continuity Plan describing measures to ensure continuity in the event of a significant business disruption. DFPG’s Business Continuity Plan can be found here.