Mickey S. Sakata

ABD RETIREMENT SERVICES

Alpine Meadows, CA

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CRD#: 2793863

Professional summary

Mickey Sakata Sakata, who also goes by Mickey Sakata Pinguelo, Miki Sakata, is a registered financial advisor currently at ABD RETIREMENT SERVICES, INC. located in Alpine Meadows, California.

Mickey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Mickey has worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mickey Sakata Pinguelo | Miki Sakata

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.

1. ABD INSURANCE AND FINANCIAL SERVICES. SINCE 08/2023; NOT INVESTMENT-RELATED. 777 MARINERS ISLAND BLVD, SUITE 250, SAN MATEO, CA. INSURANCE SERVICES FIRM. TITLE- ACCOUNT EXECUTIVE. DUTIES SALES. SERVICE/CONSULTING. 160 HOURS/MONTH. 80 HOURS/MONTH DURING TRADING. 2. Owner: Multiple rental properties in California**Owner: 2900 Rogers, LLC - rental property

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mickey Sakata Sakata's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 7, 2023 - Present

ABD RETIREMENT SERVICES, INC.

RIA

CRD#: 167641

Alpine Meadows, CA

Past

August 24, 2021 - August 15, 2023

THREE BELL CAPITAL LLC

RIA

CRD#: 159736

LOS ALTOS, CA

Past

June 1, 2015 - February 26, 2021

ONEAMERICA SECURITIES, INC.

CRD#: 4173

INDIANAPOLIS, IN

Past

March 3, 2010 - June 12, 2014

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEWARK, NJ

Past

January 11, 2002 - February 10, 2010

STANCORP EQUITIES, INC.

CRD#: 19517

WALNUT CREEK, CA

Past

May 2, 2001 - February 10, 2010

STANCORP INVESTMENT ADVISERS, INC.

RIA

CRD#: 110228

WALNUT CREEK, CA

Past

May 3, 1999 - December 31, 2001

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

December 1, 1998 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

September 12, 1996 - October 28, 1998

TRANSAMERICA SECURITIES SALES CORPORATION

CRD#: 17970

LOS ANGELES, CA

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(8/7/2023)

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: 8/24/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/12/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/16/2024

General Securities Representative Examination

General Industry/Product Exam

Series 6TO

Date: 3/16/2024

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/17/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/11/1996

Investment Company Products/Variable Contracts 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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Firm Stability Insights

Mickey S. Sakata

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mickey Sakata Sakata's CRS (Customer Relationship Summary).

Certified licenses

Experience

THREE BELL CAPITAL LLC

ONEAMERICA SECURITIES, INC.

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

STANCORP EQUITIES, INC.

STANCORP INVESTMENT ADVISERS, INC.

PARK AVENUE SECURITIES LLC

GUARDIAN INVESTOR SERVICES LLC

TRANSAMERICA SECURITIES SALES CORPORATION

Primary Firm SEC Registration

ABD RETIREMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/24/2021

Series 63

Date: 9/12/1996

Series 7TO

Date: 3/16/2024

Series 6TO

Date: 3/16/2024

SIE

Date: 10/1/2018

Series 7

Date: 4/17/2002

Series 6

Date: 9/11/1996

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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