James F. Batka

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CRD#: 14722

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Franklin Batka was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1968. James had worked at 7 firms and has passed the Series 63, Series 7TO, SIE, Series 1 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 26, 2015 - April 12, 2021

ABD RETIREMENT SERVICES, INC.

CRD#: 167641

Woodside, CA

Past

September 12, 2014 - May 26, 2015

LPL FINANCIAL LLC

CRD#: 6413

WOODSIDE, CA

Past

January 4, 2001 - September 12, 2014

FINANCIAL TELESIS INC

CRD#: 31012

WOODSIDE, CA

Past

July 5, 2000 - January 1, 2001

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

December 16, 1998 - August 14, 2000

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

CRD#: 40596

HARTFORD, CT

Past

January 21, 1992 - February 27, 1997

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

June 27, 1989 - December 31, 1991

CIGNA CAPITAL BROKERAGE, INC.

CRD#: 21387

Past

March 11, 1986 - June 28, 1989

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

Past

October 16, 1968 - June 28, 1989

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

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".

ABD RETIREMENT SERVICES, INC.

ABD RETIREMENT SERVICES, INC. | NEWFRONT RETIREMENT SERVICES, INC.

CRD#: 167641 / SEC#: 801-80234, 8-69271

RIA

Registered Investment Advisory firm - SEC (8/27/2014 Approved)

Terminated by SEC on 10/12/2021

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 2/16/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 10/9/1968

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/8/1989

General Securities Principal Examination

Current Firm

ABD RETIREMENT SERVICES, INC.

ABD RETIREMENT SERVICES, INC. | NEWFRONT RETIREMENT SERVICES, INC.

CRD#: 167641 / SEC#: 801-80234, 8-69271

RIA

Registered Investment Advisory firm - SEC (8/27/2014 Approved)

Terminated by SEC on 10/12/2021

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Contact information

Main Address

777 Mariners Island Blvd Suite 250, San Mateo, CA 94404

Mailing Address

Phone number

(415) 754-3635

Established

California since 06/28/2012

Firm type

Corporation

Fiscal year end

December

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NEWFRONT RETIREMENT SERVICES, INC. ADV BROCHURE (3/21/2025)

Direct owners and executive officers

Name	Position	CRD#
ABD INSURANCE AND FINANCIAL SERVICES	MANAGING MEMBER, 100% OWNER
BRETZ, CHRISTIAN MICHAEL	PRINCIPAL, CO-CCO	2903250
CALL, CHRISTOPHER JAMES	PRINCIPAL, EXECUTIVE REPRESENTATIVE, CO-CCO	3061592
CAMPBELL, ROBERT	FINOP	1349154

Regulatory assets under management

Total Number of Accounts	63
AUM (Assets Under Management)	$ 649,333,744

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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Advisor Monitoring

Firm Stability Insights

James F. Batka

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

FINANCIAL TELESIS INC

FSC SECURITIES CORPORATION

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CIGNA CAPITAL BROKERAGE, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

ABD RETIREMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/16/1990

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 10/9/1968

Series 24

Date: 9/8/1989

Current Firm

ABD RETIREMENT SERVICES, INC.

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

ABD RETIREMENT SERVICES, INC.

TRUST BUT VERIFY

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