Samuel Joseph Sinclair

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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

1ST DISCOUNT BROKERAGE, INC.Current·CRD# 39164

RIA

BD

1400 K St. Suite C-3, Modesto, CA 95354

August 21, 2002 - Present

Past

ACUMENT SECURITIES, INC.Past·CRD# 7661

BD

San Francisco, CA

February 22, 1995 - August 21, 2002

MONTANO SECURITIES CORPORATIONPast·CRD# 7887

BD

Orange, CA

October 14, 1993 - February 9, 1995

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Current Firm

1D

1ST DISCOUNT BROKERAGE, INC.

1DB ASSET MANAGEMENT | 1ST DISCOUNT BROKERAGE, INC.

CRD#: 39164 / SEC#: 801-132978, 8-48557

RIA

Registered Investment Advisory firm - SEC (6/12/2025 Approved)

Alabama

Registered Investment Advisory firm - SEC (2/25/2005 Terminated)

Arkansas

Registered Investment Advisory firm - SEC (7/2/2025 Terminated)

California

Registered Investment Advisory firm - SEC (7/31/2025 Terminated)

Colorado

Registered Investment Advisory firm - SEC (4/11/2013 Terminated)

Florida

Registered Investment Advisory firm - SEC (7/1/2025 Terminated)

Georgia

Registered Investment Advisory firm - SEC (12/9/2004 Terminated)

Iowa

Registered Investment Advisory firm - SEC (10/2/2007 Terminated)

Maryland

Registered Investment Advisory firm - SEC (12/17/2004 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (7/1/2025 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (7/17/2025 Terminated)

New York

Registered Investment Advisory firm - SEC (4/7/2005 Cancelled)

Pennsylvania

Registered Investment Advisory firm - SEC (7/2/2025 Terminated)

Rhode Island

Registered Investment Advisory firm - SEC (7/21/2025 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (7/2/2025 Terminated)

Texas

Registered Investment Advisory firm - SEC (7/1/2025 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (10/2/2007 Terminated)

BD

Broker-Dealer Firm Regulated by FINRA (Florida district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

8927 Hypoluxo Road Suite A5, Lake Worth, FL 33467

Mailing Address

8927 Hypoluxo Road Suite A5, Lake Worth, FL 33467

Phone Number

(561) 515-3200

Established

Florida since 07/14/1995

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

# of Employees

8

SEC 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

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

ADV PART 2A FIRM BROCHURE DIGITAL ADVISORY PROGRAM (3/31/2026)

ADV PART 2A APPENDIX 1 - WRAP FEE PROGRAM BROCHURE (3/31/2026)

FIRM BROCHURE FREEDOM (3/31/2026)

ADV PART 2A APPENDIX 1 - WRAP FEE PROGRAM BROCHURE DIGITAL ADVISORY PROGRAM (3/31/2026)

Direct owners and executive officers

Name	Position	CRD#
1DB FINANCIAL	PARENT COMPANY	—
CORLEY, WILLIAM HAROLD JR	PRESIDENT	1321008
CORLEY, WILLIAM HAROLD JR	MUNICIPAL PRINCIPAL	1321008
GALLAGHER, AILEEN M	FINOP	4606132
ROHLOFF, GEORGE PATRICK	ROSFP	2160441
ROHLOFF, GEORGE PATRICK	CHIEF COMPLIANCE OFFICER	2160441

Regulatory Assets Under Management

Total Number of Accounts

352

AUM (Assets Under Management)

$131,402,154

Disclosures

Regulatory Event

8

Arbitration

2

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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

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

1D

1ST DISCOUNT BROKERAGE, INC.

1DB ASSET MANAGEMENT | 1ST DISCOUNT BROKERAGE, INC.

CRD#: 39164 / SEC#: 801-132978, 8-48557

RIA

Registered Investment Advisory firm - SEC (6/12/2025 Approved)

Alabama

Registered Investment Advisory firm - SEC (2/25/2005 Terminated)

Arkansas

Registered Investment Advisory firm - SEC (7/2/2025 Terminated)

California

Registered Investment Advisory firm - SEC (7/31/2025 Terminated)

Colorado

Registered Investment Advisory firm - SEC (4/11/2013 Terminated)

Florida

Registered Investment Advisory firm - SEC (7/1/2025 Terminated)

Georgia

Registered Investment Advisory firm - SEC (12/9/2004 Terminated)

Iowa

Registered Investment Advisory firm - SEC (10/2/2007 Terminated)

Maryland

Registered Investment Advisory firm - SEC (12/17/2004 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (7/1/2025 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (7/17/2025 Terminated)

New York

Registered Investment Advisory firm - SEC (4/7/2005 Cancelled)

Pennsylvania

Registered Investment Advisory firm - SEC (7/2/2025 Terminated)

Rhode Island

Registered Investment Advisory firm - SEC (7/21/2025 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (7/2/2025 Terminated)

Texas

Registered Investment Advisory firm - SEC (7/1/2025 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (10/2/2007 Terminated)

BD

Broker-Dealer Firm Regulated by FINRA (Florida district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Arizona
(5/12/2020)

RR

California
(8/21/2002)

RR

Colorado
(1/5/2021)

RR

Idaho
(2/28/2018)

RR

Nevada
(11/20/2019)

RR

Oregon
(1/2/2024)

RR

Washington
(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.