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Investment Adviser Firm Summary

DFPG INVESTMENTS, INC. (CRD# 155576 / SEC# 8-68730, 801-107896)
Alternate Names: DFPG INSURANCE, INC. , DFPG INVESTMENTS, INC.

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 06/02/2016
Arizona Terminated 11/18/2016
California Terminated 12/18/2016
Colorado Terminated 12/01/2016
Idaho Terminated 11/22/2016
Missouri Terminated 11/18/2016
Nevada Terminated 01/04/2017
North Carolina Terminated 11/21/2016
Oregon Terminated 11/18/2016
Texas Terminated 11/18/2016
Utah Approved 01/21/2015
Virginia Terminated 08/29/2016

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 11/28/2017
Arizona 06/02/2016
Arkansas 05/09/2017
California 06/02/2016
Colorado 06/02/2016
Delaware 04/12/2018
District of Columbia 04/12/2018
Florida 06/02/2016
Georgia 10/08/2016
Hawaii 10/08/2016
Idaho 06/02/2016
Illinois 10/26/2016
Kansas 06/02/2016
Louisiana 05/09/2017
Maine 07/29/2016
Maryland 07/31/2017
Massachusetts 06/02/2016
Michigan 10/08/2016
Minnesota 04/12/2018
Missouri 06/02/2016
Montana 04/12/2018
Nebraska 06/02/2016
Nevada 06/02/2016
New Mexico 10/08/2016
New York 06/02/2016
North Carolina 11/18/2016
Oklahoma 10/08/2016
Oregon 11/18/2016
Pennsylvania 04/12/2018
South Carolina 07/29/2016
South Dakota 04/12/2018
Tennessee 04/12/2018
Texas 06/02/2016
Utah 06/02/2016
Virginia 06/02/2016
Washington 06/02/2016
Wisconsin 10/08/2016
Wyoming 09/13/2017

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser