Anton J. Bayer

UP CAPITAL MANAGEMENT

Bulverde, TX

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CRD#: 1043657

Professional summary

Anton James Bayer, CFP®, who also goes by Anton J Bayer, is a registered financial advisor currently at UP CAPITAL MANAGEMENT, INC. located in Bulverde, Texas.

Anton is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Anton has worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

What are your service offerings?

Insurance Planning

Investment Planning

Employee and Employer Plan Ben...

Retirement Planning

Estate Planning

Comprehensive Financial Planni...

Tax Planning

Are you a "fiduciary"?

Yes

Aliases

Anton J Bayer

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.

1) 1/01/2023: REAL ESTATE RENTAL - INRS HOLDINGS REAL ESTATE RENTAL - 10% OF TIME SPENT - PLACER COUNTY, CA, SONOMA COUNTY, CA, PETALUMA, CA AND BEXARCOUNTY, TX (2) 1/12/2012: OTHER-BOOK SALES - BOOK AUTHOR - BOOK SALES OF "EXPOSING THE MYTHS OF FINANCIAL SUCCESS" BOOK AND "PHYSICIANS GUIDE TO WEALTH"BOOK. - 1% OF TIME SPENT. (3) 08/05/2014 - AC FINANCIAL/BAYER ENTERPRISE - BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY - BUSINESS ENTITY FORTAX/INVESTMENT PURPOSES ONLY - AC FINANCIAL/BAYER ENTERPRISE - TIME SPENT 4 HOURS PER MONTH - GRANITE BAY, CA

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anton James Bayer'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®

CFP^®

Certified Financial Planner

Start date: 1985

Experience

Current

October 2, 2012 - Present

UP CAPITAL MANAGEMENT, INC.

RIA

CRD#: 164692

Bulverde, TX

Past

November 1, 2011 - December 31, 2014

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN JOSE, CA

Past

November 1, 2011 - December 31, 2014

LPL FINANCIAL LLC

CRD#: 6413

SAN JOSE, CA

Past

August 27, 2009 - November 2, 2011

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

SAN JOSE, CA

Past

August 27, 2009 - November 2, 2011

SECURITIES AMERICA, INC.

CRD#: 10205

SAN JOSE, CA

Past

February 25, 2005 - August 31, 2009

CBIZ FINANCIAL SOLUTIONS, INC.

CRD#: 16678

SAN JOSE, CA

Past

July 18, 2002 - December 31, 2009

CBIZ FINANCIAL SOLUTIONS, INC.

RIA

CRD#: 16678

SAN JOSE, CA

Past

May 1, 2002 - July 22, 2002

CAPITAL MANAGEMENT INVESTMENT GROUP

RIA

CRD#: 111661

SAN JOSE, CA

Past

June 19, 2000 - February 25, 2005

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

April 19, 2000 - June 20, 2000

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

PASADENA, CA

Past

January 29, 1999 - April 25, 2000

D.E. FREY & COMPANY, INC.

CRD#: 23595

DENVER, CO

Past

January 6, 1998 - January 28, 1999

SUNSET FINANCIAL SERVICES, INC.

CRD#: 3538

KANSAS CITY, MO

Past

October 28, 1992 - December 19, 1997

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

March 1, 1990 - November 29, 1990

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

CRD#: 5774

Past

September 12, 1989 - April 16, 1990

AMERICAN INVESTORS GROUP, INC.

CRD#: 10020

MINNETONKA, MN

Past

May 15, 1989 - August 1, 1989

U.S. ADVISORS, INC.

CRD#: 10721

Past

January 21, 1988 - September 25, 1990

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 6695

NEWPORT BEACH, CA

Past

December 24, 1987 - May 17, 1988

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

May 24, 1982 - December 24, 1987

FINANCIAL PLANNERS EQUITY CORPORATION

CRD#: 7420

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".

UP CAPITAL MANAGEMENT, INC.

CRD#: 164692 / SEC#: 801-79503

RIA

Registered Investment Advisory firm - (4/14/2014 Approved)

California

Registered Investment Advisory firm - (6/7/2014 Terminated)

Texas

Registered Investment Advisory firm - (5/8/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(10/17/2012)

IAR

Texas
(10/2/2012)

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

State Security Law Exam

IAR

Series 65

Date: 1/6/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/6/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/15/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/23/1984

General Securities Principal Examination

Current Firm

UP CAPITAL MANAGEMENT, INC.

CRD#: 164692 / SEC#: 801-79503

RIA

Registered Investment Advisory firm - (4/14/2014 Approved)

California

Registered Investment Advisory firm - (6/7/2014 Terminated)

Texas

Registered Investment Advisory firm - (5/8/2014 Terminated)

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Contact information

Main Address

Bulverde, TX

Mailing Address

341 Lincoln Street, Roseville, CA 95678

Phone number

(916) 520-6420

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A DISCLOSURE BROCHURE (2/25/2025)

Regulatory assets under management

Total Number of Accounts	376
AUM (Assets Under Management)	$ 186,596,697

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Anton J. Bayer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anton James Bayer's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

CBIZ FINANCIAL SOLUTIONS, INC.

CBIZ FINANCIAL SOLUTIONS, INC.

CAPITAL MANAGEMENT INVESTMENT GROUP

SECURITIES AMERICA, INC.

WESTERN INTERNATIONAL SECURITIES, INC.

D.E. FREY & COMPANY, INC.

SUNSET FINANCIAL SERVICES, INC.

NEW ENGLAND SECURITIES

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

AMERICAN INVESTORS GROUP, INC.

U.S. ADVISORS, INC.

METLIFE INVESTORS DISTRIBUTION COMPANY

INTEGRATED RESOURCES EQUITY CORPORATION

FINANCIAL PLANNERS EQUITY CORPORATION

Primary Firm SEC Registration

UP CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/6/2000

Series 63

Date: 8/6/1986

SIE

Date: 12/31/2014

Series 7

Date: 5/15/1982

Series 24

Date: 7/23/1984

Current Firm

UP CAPITAL MANAGEMENT, INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

UP CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

Contact information

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