Clay D. Stafford

ABD RETIREMENT SERVICES

Oakland, CA

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CRD#: 4559932

Professional summary

Clay Dean William Stafford is a registered financial advisor currently at ABD RETIREMENT SERVICES, INC. located in Oakland, California.

Clay is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Clay has worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.

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.

ABD Insurance and Financial Services, Inc. since 07/2012. Insurance Agent. 777 Mariners Island Blvd, Suite 250 San Mateo, CA. Insurance Services. Duties: Sales/Service/Consulting. Less than one hour per month during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Clay Dean William Stafford'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

December 4, 2014 - Present

ABD RETIREMENT SERVICES, INC.

RIA

CRD#: 167641

Oakland, CA

Past

December 3, 2014 - August 18, 2021

ABD RETIREMENT SERVICES, INC.

CRD#: 167641

San Francisco, CA

Past

July 23, 2012 - December 1, 2014

FINANCIAL TELESIS INC

RIA

CRD#: 31012

SAN FRANCISCO, CA

Past

July 23, 2012 - December 1, 2014

FINANCIAL TELESIS INC

CRD#: 31012

SAN FRANCISCO, CA

Past

January 27, 2010 - July 23, 2012

WELLS FARGO INSURANCE SERVICES INVESTMENT ADVISORS, INC.

RIA

CRD#: 35419

SAN FRANCISCO, CA

Past

January 26, 2010 - July 23, 2012

WELLS FARGO INSURANCE SERVICES INVESTMENT ADVISORS, INC.

CRD#: 35419

SAN FRANCISCO, CA

Past

August 26, 2008 - December 31, 2009

WELLS FARGO INSURANCE SERVICES INVESTMENT ADVISORS, INC.

RIA

CRD#: 41936

REDWOOD CITY, CA

Past

August 25, 2008 - December 31, 2009

WELLS FARGO INSURANCE SERVICES INVESTMENT ADVISORS, INC.

CRD#: 41936

REDWOOD CITY, CA

Past

December 4, 2002 - August 25, 2008

STANCORP EQUITIES, INC.

CRD#: 19517

WALNUT CREEK, CA

Past

July 5, 2002 - August 25, 2008

STANCORP INVESTMENT ADVISERS, INC.

RIA

CRD#: 110228

WALNUT CREEK, 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
(12/4/2014)

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: 12/18/2002

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/19/2002

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/3/2002

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

Clay D. Stafford

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Clay Dean William Stafford's CRS (Customer Relationship Summary).

Certified licenses

Experience

ABD RETIREMENT SERVICES, INC.

FINANCIAL TELESIS INC

FINANCIAL TELESIS INC

WELLS FARGO INSURANCE SERVICES INVESTMENT ADVISORS, INC.

WELLS FARGO INSURANCE SERVICES INVESTMENT ADVISORS, INC.

WELLS FARGO INSURANCE SERVICES INVESTMENT ADVISORS, INC.

WELLS FARGO INSURANCE SERVICES INVESTMENT ADVISORS, INC.

STANCORP EQUITIES, INC.

STANCORP INVESTMENT ADVISERS, INC.

Primary Firm SEC Registration

ABD RETIREMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/18/2002

Series 65

Date: 2/19/2002

SIE

Date: 10/1/2018

Series 6

Date: 12/3/2002

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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