Gregory F. Kaplan

ABD RETIREMENT SERVICES

San Jose, CA

Some features on this profile are disabled

CRD#: 7695762

Professional summary

Gregory Franklyn Kaplan, who also goes by Greg Kaplan, is a registered financial advisor currently at ABD RETIREMENT SERVICES, INC. located in San Jose, California.

Gregory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Gregory has worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Greg Kaplan

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) - RIA

Click below to view Gregory Franklyn Kaplan'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

March 16, 2023 - Present

ABD RETIREMENT SERVICES, INC.

RIA

CRD#: 167641

San Jose, 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
(3/16/2023)

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

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Gregory F. Kaplan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Franklyn Kaplan's CRS (Customer Relationship Summary).

Certified licenses

Experience

ABD RETIREMENT SERVICES, INC.

Primary Firm SEC Registration

ABD RETIREMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

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

Similar Advisors