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.
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:
- Collect only the information we need to help us deliver the products and services you desire;
- Protect against unauthorized access to your information;
- Refuse to sell your information to outside mailing list companies or telemarketers;
- Require companies that partner with us to protect your information in accordance with strict privacy standards;
- Give you a choice about sharing your information for marketing purposes;
- 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:
- our agents,
- our affiliates, or
- others who perform business services for us.
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
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 2020Q3.
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.