Unclaimed Profile

Scott Spiering

ANCHOR BAY CAPITAL, INC.·CARLSBAD, California

SIE, Series 7, Series 24, Series 63, Series 65, Series 99TO24 years registeredANCHOR BAY CAPITAL, INC.

5780 FLEET ST., CARLSBAD, CA 92008CRD# 1828899Firm CRD# 116913

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Scott Spiering · CARLSBAD, CA

Registration

CRD #1828899 · ANCHOR BAY CAPITAL, INC. · 24 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: ANCHOR BAY CAPITAL, INC.

ANCHOR BAY CAPITAL, INC.

Jan 2002 – Oct 2025

CARLSBAD, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 63

Series 65

Series 99TO

Registration record

First registered · January 31, 2002

Years registered · 24

Disclosure History

1991Customer Dispute·Settled

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

ANCHOR BAY CAPITAL, INC.

CRD 116913 · SEC 801-107983

AUM

$209M

Regulatory assets under management

Employees

210 client accounts

Services offered by ANCHOR BAY CAPITAL, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at ANCHOR BAY CAPITAL, INC. →

Introduction

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Frequently Asked Questions

What services does Scott Spiering offer?

Scott Spiering specializes in Financial Planning, Investment Management, Wealth Management.

What are Scott Spiering's credentials?

Scott Spiering is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Scott Spiering located?

Scott Spiering is based in CARLSBAD, California, last registered with ANCHOR BAY CAPITAL, INC..

How does Scott Spiering charge for services?

Scott Spiering's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is ANCHOR BAY CAPITAL, INC.?

ANCHOR BAY CAPITAL, INC. has approximately 5 employees and manages $209M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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