ET
Einar Tangen
1ST DISCOUNT BROKERAGE
FRISCO, TX
Some features on this profile are disabled
CRD#: 813758
ET
Professional summary
Einar Tangen is a registered financial professional currently at 1ST DISCOUNT BROKERAGE, INC. located in Frisco, Texas.
Einar is registered as a RR (Registered Representative) and started their career in finance in 1975. Einar has worked at 10 firms and has passed the Series 63, SIE, Series 5, Series 7, Series 1, Series 10, Series 9 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Einar Tangen's 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®
NoneExperience
Current
August 21, 2002 - Present
1ST DISCOUNT BROKERAGE, INC.
RIA
BD
CRD#: 39164
FRISCO, TX
Past
October 6, 1995 - August 21, 2002
ACUMENT SECURITIES, INC.
BD
CRD#: 7661
SAN FRANCISCO, CA
Past
January 3, 1994 - October 16, 1995
JWGENESIS SECURITIES, INC.
BD
CRD#: 33832
BOCA RATON, FL
Past
June 5, 1992 - January 3, 1994
JW GENESIS CLEARING CORP.
BD
CRD#: 6631
BOCA RATON, FL
Past
October 11, 1991 - June 15, 1992
PRENTICE SECURITIES, INCORPORATED
BD
CRD#: 22897
HALLANDALE, FL
Past
October 3, 1988 - October 22, 1991
DOMINICK & DICKERMAN LLC
BD
CRD#: 7344
OLD GREENWICH, CT
Past
April 15, 1986 - October 3, 1988
DOMIK CORP.
BD
CRD#: 223
Past
September 20, 1982 - May 14, 1986
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Past
February 24, 1978 - September 24, 1982
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
Past
October 17, 1975 - December 16, 1978
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
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)
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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(8/22/2002)
RR
Kansas(8/27/2013)
RR
Kentucky(6/6/2006)
RR
Ohio(1/19/2006)
RR
Texas(6/14/2011)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 10/23/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 10/11/1975
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 9/8/1994
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
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)
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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
9
SEC notice filing (10 States and Territories)
FINRA licenses (51 States and Territories)
Documents
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.
