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MP

Marcos D. Pastrana

ABD RETIREMENT SERVICES
El Dorado Hill, CA
Some features on this profile are disabled
CRD#: 3103169
MP

Professional summary

Marcos D Pastrana is a registered financial advisor currently at ABD RETIREMENT SERVICES, INC. located in El Dorado Hill, California.

Marcos is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Marcos has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

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.
AFC360 Mortgage Center Non-Investment Related 1424 21st Street Sacramento, CA 95811 Mortgage Lender and Broker Loan Officer May 2022 Approximately 8 hours per week My duties will be to market and sell mortgage loans.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marcos D Pastrana'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

February 1, 2023 - Present

ABD RETIREMENT SERVICES, INC.

RIA
CRD#: 167641
El Dorado Hill, CA
Past

October 13, 2016 - June 10, 2019

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
RANCHO CORDOVA, CA
Past

December 15, 1999 - October 31, 2001

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
SAN MATEO, 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".
AR
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)
BD
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
(2/1/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/31/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/7/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 10/13/2016
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 3/1/2017
Investment Company Products/Variable Contracts Principal Examination

Current Firm

AR
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)
BD
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
30

SEC notice filing (15 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
ABD INSURANCE AND FINANCIAL SERVICESMANAGING MEMBER, 100% OWNER
BRETZ, CHRISTIAN MICHAELPRINCIPAL, CO-CCO2903250
CALL, CHRISTOPHER JAMESPRINCIPAL, EXECUTIVE REPRESENTATIVE, CO-CCO3061592
CAMPBELL, ROBERTFINOP1349154

Regulatory assets under management

Total Number of Accounts63
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.

Company Information

ABD RETIREMENT SERVICES, INC.

CRD#: 167641El Dorado Hill, CA

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