Samuel Joseph Sinclair
Professional Summary
Samuel Joseph Sinclair is a registered financial advisor currently at 1ST DISCOUNT BROKERAGE, INC. located in Modesto, California. Samuel is registered as a RR (Registered Representative) and started their career in finance in 1993. Samuel has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 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
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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
33 years registered in the securities industry
Current & Past Employments
Current
Past
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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
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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
(5/12/2020)
(8/21/2002)
(1/5/2021)
(2/28/2018)
(11/20/2019)
(1/2/2024)
(11/15/2019)
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.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Samuel Joseph Sinclair's CRS (Customer Relationship Summary).
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