Samuel J. Sinclair

1ST DISCOUNT BROKERAGE

Modesto, CA 95354

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CRD#: 2400952

Professional summary

Samuel Joseph Sinclair is a registered financial professional 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.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Samuel Joseph Sinclair's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 21, 2002 - Present

1ST DISCOUNT BROKERAGE, INC.

Office #1: 1400 K St. Suite C-3, Modesto, CA 95354

RIA

CRD#: 39164

Modesto, CA

Past

February 22, 1995 - August 21, 2002

ACUMENT SECURITIES, INC.

CRD#: 7661

SAN FRANCISCO, CA

Past

October 14, 1993 - February 9, 1995

MONTANO SECURITIES CORPORATION

CRD#: 7887

ORANGE, CA

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".

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)

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.

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

Visual representation of state registrations

Arizona
(5/12/2020)

California
(8/21/2002)

Colorado
(1/5/2021)

Idaho
(2/28/2018)

Nevada
(11/20/2019)

Oregon
(1/2/2024)

Utah
(10/15/2024)

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.

Exams

State Security Law Exam

Series 63

Date: 10/28/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/13/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/12/1997

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

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)

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

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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

SEC notice filing (10 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE FREEDOM (9/9/2025)

ADV PART 2A FIRM BROCHURE DIGITAL ADVISORY PROGRAM (9/9/2025)

ADV PART 2A APPENDIX 1 - WRAP FEE PROGRAM BROCHURE (7/1/2025)

ADV PART 2A APPENDIX 1 - WRAP FEE PROGRAM BROCHURE DIGITAL ADVISORY PROGRAM (7/1/2025)

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	346
AUM (Assets Under Management)	$ 108,117,119

Disclosures

Regulatory Event	8
Arbitration	2

Red Flags

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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Samuel J. Sinclair

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Samuel Joseph Sinclair's CRS (Customer Relationship Summary).

Certified licenses

Experience

ACUMENT SECURITIES, INC.

MONTANO SECURITIES CORPORATION

Primary Firm SEC Registration

1ST DISCOUNT BROKERAGE, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/28/1993

SIE

Date: 10/1/2018

Series 7

Date: 10/13/1993

Series 24

Date: 6/12/1997

FINRA

Nasdaq Stock Market

Current Firm

1ST DISCOUNT BROKERAGE, INC.

Contact information

SEC notice filing (10 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

1ST DISCOUNT BROKERAGE, INC.

TRUST BUT VERIFY

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