DFPG INVESTMENTS, LLC

Q3 2020 13F Combination Report, Options Holdings

Signature - Title
Lupe Fungalei - Compliance Analyst
Location
Sandy, UT
Options holdings as of
September 30, 2020
Notional value $
$0
Number of holdings
1
Date filed
10/13/2020, 11:33 AM
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
Q2 2020 - Jul 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 Q3 compared to 2020 Q2 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 Director IA Compliance Sandy, Utah 10/9/2020

List of Other Managers Reporting for DFPG INVESTMENTS, LLC:

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