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Investment Adviser Firm Summary
1ST DISCOUNT BROKERAGE, INC. ( CRD # 39164/SEC#:801-68364,8-48557 )
1DB ASSET MANAGEMENT, 1ST DISCOUNT BROKERAGE, INC.

The adviser's REGISTRATION status is listed below.

This adviser is also a brokerage firm
REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECTerminated6/29/2012
AlabamaTerminated2/25/2005
ArkansasApproved8/29/2012
CaliforniaApproved5/18/2012
ColoradoTerminated4/11/2013
FloridaApproved8/29/2012
GeorgiaTerminated12/9/2004
IowaTerminated10/2/2007
MarylandTerminated12/17/2004
MassachusettsApproved11/10/2020
New JerseyApproved7/25/2019
New YorkCancelled4/7/2005
PennsylvaniaApproved7/24/2012
Rhode IslandApproved7/6/2020
TennesseeApproved8/22/2024
TexasApproved6/25/2012
WisconsinTerminated10/2/2007
NOTICE FILINGS

Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.

Not Currently Notice Filed
EXEMPT REPORTING ADVISERS

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

Not Currently an Exempt Reporting Adviser
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.