Brian M. Ashworth

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CRD#: 1968648

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.

Brian Muus Ashworth was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 1989. Brian had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 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

January 9, 2015 - January 17, 2020

ABD RETIREMENT SERVICES, INC.

RIA

CRD#: 167641

SAN FRANCISCO, CA

Past

January 9, 2015 - January 17, 2020

ABD RETIREMENT SERVICES, INC.

CRD#: 167641

SAN FRANCISCO, CA

Past

August 31, 2007 - January 5, 2015

COMERICA SECURITIES

RIA

CRD#: 17079

PALO ALTO, CA

Past

August 3, 2007 - January 5, 2015

COMERICA SECURITIES

CRD#: 17079

DETROIT, MI

Past

June 10, 2003 - July 5, 2007

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

SAN MATEO, CA

Past

April 3, 2000 - October 31, 2002

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

CRD#: 40596

HARTFORD, CT

Past

July 2, 1999 - January 12, 2000

AURUM SECURITIES CORP.

CRD#: 38598

SAN JOSE, CA

Past

September 30, 1998 - June 30, 1999

FINANCIAL TELESIS INC

CRD#: 31012

SAN RAFAEL, CA

Past

January 21, 1992 - February 27, 1997

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

September 19, 1989 - December 31, 1991

CIGNA CAPITAL BROKERAGE, INC.

CRD#: 21387

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

IAR

Series 65

Date: 8/30/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/20/1990

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: 9/16/1989

General Securities Representative 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

Brian M. Ashworth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ABD RETIREMENT SERVICES, INC.

COMERICA SECURITIES

COMERICA SECURITIES

TRANSAMERICA INVESTORS SECURITIES, LLC

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

AURUM SECURITIES CORP.

FINANCIAL TELESIS INC

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CIGNA CAPITAL BROKERAGE, INC.

Primary Firm SEC Registration

ABD RETIREMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/30/2007

Series 63

Date: 6/20/1990

SIE

Date: 10/1/2018

Series 7

Date: 9/16/1989

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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