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JD

Jacob Daly

ABD RETIREMENT SERVICES
San Marcos, CA
Some features on this profile are disabled
CRD#: 6014986
JD

Professional summary

Jacob Daly, AIF®, who also goes by Jacob E Daly, Jacob Eugene Daly, Jake Eugene Daly, Jake Daly, is a registered financial advisor currently at ABD RETIREMENT SERVICES, INC. located in San Marcos, California.

Jacob is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Jacob has worked at 9 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Jacob E Daly | Jacob Eugene Daly | Jake Eugene Daly | Jake Daly

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 Jacob Daly'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®
AIF®

Accredited Investment Fiduciary

Experience

Current

July 24, 2020 - Present

ABD RETIREMENT SERVICES, INC.

RIA
CRD#: 167641
San Marcos, CA
Past

July 23, 2020 - August 18, 2021

ABD RETIREMENT SERVICES, INC.

BD
CRD#: 167641
San Francisco, CA
Past

January 7, 2019 - July 7, 2020

EMPOWER ADVISORY GROUP, LLC

RIA
CRD#: 112058
San Diego, CA
Past

January 7, 2019 - July 7, 2020

EMPOWER FINANCIAL SERVICES, INC.

BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past

June 20, 2018 - January 8, 2019

OSAIC SERVICES, INC.

RIA
CRD#: 133763
SAN DIEGO, CA
Past

June 20, 2018 - January 8, 2019

OSAIC SERVICES, INC.

BD
CRD#: 133763
SAN DIEGO, CA
Past

May 10, 2018 - January 3, 2019

MMA SECURITIES LLC

RIA
CRD#: 44254
San Diego, CA
Past

May 10, 2018 - January 3, 2019

MMA SECURITIES LLC

BD
CRD#: 44254
San Diego, CA
Past

June 25, 2015 - June 11, 2018

OSAIC SERVICES, INC.

RIA
CRD#: 133763
SAN DIEGO, CA
Past

June 25, 2015 - June 11, 2018

OSAIC SERVICES, INC.

BD
CRD#: 133763
SAN DIEGO, CA
Past

July 22, 2014 - May 18, 2015

FORESTERS ADVISORY SERVICES, LLC

RIA
CRD#: 164663
SAN DIEGO, CA
Past

July 18, 2014 - May 18, 2015

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305
SAN DIEGO, CA
Past

February 28, 2014 - July 2, 2014

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
SAN FRANCISCO, CA
Past

January 29, 2014 - July 2, 2014

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
SAN FRANCISCO, CA
Past

October 1, 2012 - December 31, 2013

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
SAN FRANCISCO, CA
Past

February 13, 2012 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
SAN RAFAEL, 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
(7/24/2020)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/27/2014
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/21/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/27/2024
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 3/27/2024
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 7
Date: 2/6/2014
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/10/2012
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 Marcos, CA

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