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BS

Brent A. Smith

Some features on this profile are disabled
CRD#: 5022713
BS

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.

Brent Aiona Smith, who also goes by Brent Aiana Smith, was a registered financial professional .

Brent is a previously registered financial professional and started their career in finance in 2005. Brent had worked at 4 firms and has passed the Series 65, Series 63, Series 66, SIE, Series 6, Series 7, Series 26 and Series 28 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brent Aiana Smith

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 27, 2015 - September 20, 2016

ABD RETIREMENT SERVICES, INC.

RIA
CRD#: 167641
SAN FRANCISCO, CA
Past

December 3, 2014 - September 20, 2016

ABD RETIREMENT SERVICES, INC.

BD
CRD#: 167641
SAN FRANCISCO, CA
Past

November 11, 2014 - December 1, 2014

FINANCIAL TELESIS INC

BD
CRD#: 31012
SAN FRANCISCO, CA
Past

March 11, 2010 - January 11, 2012

TRANSAMERICA INVESTORS SECURITIES, LLC

BD
CRD#: 32205
LOS ANGELES, CA
Past

October 10, 2005 - January 16, 2007

WELLS FARGO INVESTMENTS, LLC

RIA
CRD#: 10582
TORRANCE, CA
Past

September 28, 2005 - January 16, 2007

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
TORRANCE, 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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/22/2014
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/24/2014
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 10/7/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/20/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 11/11/2014
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 9/27/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 12/15/2015
Investment Company Products/Variable Contracts Principal Examination
Principal/Supervisory Exam
RR
Series 28
Date: 11/17/2015
Introducing Broker/Dealer Financial Operations 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#: 167641

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