George Patrick Rohloff
Professional Summary
George Patrick Rohloff is a registered financial advisor currently at 1ST DISCOUNT BROKERAGE, INC. located in Lake Worth, Florida. George is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. George has worked at 8 firms and has passed the Series 66, Series 63, Series 99TO, Series 57TO, Series 79TO, SIE, Series 55, Series 7, Series 24 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
35 years in the financial services industry
Current & Past Employments
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Current Firm
1DB ASSET MANAGEMENT | 1ST DISCOUNT BROKERAGE, INC.
Contact Information
Main Address
8927 Hypoluxo Road Suite A5, Lake Worth, FL 33467Mailing Address
8927 Hypoluxo Road Suite A5, Lake Worth, FL 33467Phone Number
(561) 515-3200Established
Florida since 07/14/1995Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
8SEC notice filing (10 States and Territories)
Registered to provide investment advisory services in 10 US states and territories.
FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 10 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
352AUM (Assets Under Management)
$131,402,154Disclosures
Regulatory Event
8Arbitration
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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Primary Firm SEC Registration
1DB ASSET MANAGEMENT | 1ST DISCOUNT BROKERAGE, INC.
State Registrations and Notice Filings
(1/4/2012)
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(10/30/2007)
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Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Dec 2007SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view George Patrick Rohloff's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view George Patrick Rohloff's CRS (Customer Relationship Summary).
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