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SM

Scott B. Mccloskey

ABD RETIREMENT SERVICES
San Francisco, CA
Some features on this profile are disabled
CRD#: 4900988
SM

Professional summary

Scott Bartlett Mccloskey, who also goes by Scott Bartlet Mccloskey, is a registered financial advisor currently at ABD RETIREMENT SERVICES, INC. located in San Francisco, California.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Scott has worked at 4 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Scott Bartlet Mccloskey

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. SINCE 08/2012. NOT INVESTMENT-RELATED. 777 MARINERS ISLAND BLVD, SUITE 250, SAN MATEO, CA. INSURANCE BROKERAGE FIRM. TITLE-INVESTMENT ANALYST. DUTIES- INVESTMENT ANALYSIS. 160 HOURS/MONTH ALL DURING TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Bartlett Mccloskey'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
San Francisco, CA
Past

December 3, 2014 - August 18, 2021

ABD RETIREMENT SERVICES, INC.

BD
CRD#: 167641
San Francisco, CA
Past

October 10, 2012 - December 1, 2014

FINANCIAL TELESIS INC

RIA
CRD#: 31012
SAN MATEO, CA
Past

October 10, 2012 - December 1, 2014

FINANCIAL TELESIS INC

BD
CRD#: 31012
SAN MATEO, CA
Past

January 25, 2010 - July 23, 2012

WELLS FARGO INSURANCE SERVICES INVESTMENT ADVISORS, INC.

RIA
CRD#: 35419
SAN FRANCISCO, CA
Past

January 22, 2010 - July 23, 2012

WELLS FARGO INSURANCE SERVICES INVESTMENT ADVISORS, INC.

BD
CRD#: 35419
SAN FRANCISCO, CA
Past

December 4, 2008 - December 31, 2009

WELLS FARGO INSURANCE SERVICES INVESTMENT ADVISORS, INC.

RIA
CRD#: 41936
REDWOOD CITY, CA
Past

February 21, 2005 - December 31, 2009

WELLS FARGO INSURANCE SERVICES INVESTMENT ADVISORS, INC.

BD
CRD#: 41936
REDWOOD CITY, 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
(12/4/2014)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/25/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/18/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 12/14/2022
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 2/17/2005
Investment Company Products/Variable Contracts Representative 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#: 167641San Francisco, CA

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