DFPG INVESTMENTS, LLC

Q2 2020 13F Combination Report, Options Holdings

Signature - Title
Lupe Fungalei - Compliance Analyst
Location
Sandy, UT
Options holdings as of
June 30, 2020
Notional value $
$27K
Number of holdings
2
Date filed
7/13/2020, 04:49 PM
Description
A portion of the US holdings for this investor are reported in this report and a portion are reported by other reporting manager(s).
Previous filing
Q1 2020 - Apr 17, 2020
Next filing
Q3 2020 - Oct 13, 2020
Stock holdings
Showing options holdings, see here for stock holdings
Sym Company Class Option Share Change Activity * Price $ Shares Notional Value
Filing 2020 Q2 compared to 2020 Q1 by default.
* Reported Price is the price of the security as of the portfolio date. This value is significant in that it is the last known price at which the security was still held.
An asterisk sign (*) next to the price indicates that the price is likely invalid.

Person Signing this Report on Behalf of Reporting Manager:

Name Title City, State Date
Craig Watanabe Senior Compliance Officer Sandy, Utah 7/13/2020

List of Other Managers Reporting for DFPG INVESTMENTS, LLC:

Name Holdings Value Location File Number
TOWNSQUARE CAPITAL LLC $8.35B Provo, UT 028-19141