JM
John D. Mchugh
1ST DISCOUNT BROKERAGE
Half Moon Bay, CA
Some features on this profile are disabled
CRD#: 825583
JM
Professional summary
John Dillon Mchugh II, who also goes by John Dillion Mchugh II, is a registered financial advisor currently at 1ST DISCOUNT BROKERAGE, INC. located in Half Moon Bay, California.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1976. John has worked at 8 firms and has passed the Series 63, Series 7TO, SIE and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Dillion Mchugh Ii
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) - RIA
Click below to view John Dillon Mchugh II's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Dillon Mchugh II'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
September 7, 2004 - Present
1ST DISCOUNT BROKERAGE, INC.
RIA
BD
CRD#: 39164
Half Moon Bay, CA
Current
August 21, 2002 - Present
1ST DISCOUNT BROKERAGE, INC.
RIA
BD
CRD#: 39164
Half Moon Bay, CA
Past
September 12, 1990 - August 21, 2002
ACUMENT SECURITIES, INC.
BD
CRD#: 7661
SAN FRANCISCO, CA
Past
September 11, 1990 - May 27, 2004
MCCLURG CAPITAL CORPORATION
BD
CRD#: 16798
SAN RAFAEL, CA
Past
April 4, 1990 - September 13, 1991
FIRST AMERICA EQUITIES CORP.
BD
CRD#: 7652
Past
January 22, 1986 - April 17, 1990
WELLS FARGO SECURITIES, LLC
BD
CRD#: 7665
SAN FRANCISCO, CA
Past
May 22, 1979 - January 16, 1986
CAPITAL CONCEPTS INVESTMENT CORP.
BD
CRD#: 7115
Past
January 14, 1977 - December 19, 1979
PROVIDENT MARKETING CORPORATION
BD
CRD#: 7328
Past
August 6, 1976 - January 14, 1977
PLA SECURITIES CORPORATION
BD
CRD#: 666
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
California(8/21/2002)
IAR
California(9/7/2004)
RR
Colorado(1/4/2022)
RR
Connecticut(8/21/2002)
RR
Florida(1/2/2003)
RR
Hawaii(5/3/2022)
RR
Kentucky(5/8/2017)
RR
Michigan(8/21/2002)
RR
Montana(2/16/2023)
RR
Nevada(1/2/2014)
RR
North Carolina(9/7/2023)
RR
Oregon(1/3/2020)
RR
South Carolina(5/14/2014)
RR
Virginia(10/12/2021)
RR
Washington(4/27/2004)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 8/2/1976
Registered Representative ExaminationSRO 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
