Scott Spiering

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CRD#: 1828899

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.

Scott Spiering was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 1988. Scott had worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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. ANCHOR BAY CAPITAL, INC., Partial Owner/Advisor, 02/2001, OFFERS INVESTMENT MANAGEMENT AND FINANCIAL PLANNING SERVICES, 0 Hours 2. ANCHOR BAY SECURITIES, LLC, REGISTERED REPRESENTATIVE, 03/1999, RECOMMENDS AND SELLS COMMISSION-BASED INVESTMENT PRODUCTS AND SERVICES AND INSURANCE, 0 Hours ADDRESS FOR 1 & 2: 5780 FLEET STREET, SUITE 308, CARLSBAD, CA 92008

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 31, 2002 - October 1, 2025

ANCHOR BAY CAPITAL, INC.

RIA

CRD#: 116913

CARLSBAD, CA

Past

July 30, 1999 - December 31, 2024

ANCHOR BAY SECURITIES, LLC

CRD#: 47360

CARLSBAD, CA

Past

August 13, 1996 - March 20, 1998

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

May 22, 1992 - May 25, 1999

SPIERING & CO., INC.

CRD#: 30060

Past

August 13, 1991 - May 18, 1992

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

May 25, 1988 - August 27, 1991

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

ANCHOR BAY CAPITAL, INC.

ANCHOR BAY CAPITAL MANAGEMENT, LLC | ANCHOR BAY CAPITAL, INC.

CRD#: 116913 / SEC#: 801-107983

RIA

Registered Investment Advisory firm - (6/13/2016 Approved)

California

Registered Investment Advisory firm - (7/15/2016 Terminated)

Utah

Registered Investment Advisory firm - (6/15/2016 Terminated)

Washington

Registered Investment Advisory firm - (7/15/2016 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 1/21/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/3/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/21/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/27/1992

General Securities Principal Examination

Current Firm

ANCHOR BAY CAPITAL, INC.

ANCHOR BAY CAPITAL MANAGEMENT, LLC | ANCHOR BAY CAPITAL, INC.

CRD#: 116913 / SEC#: 801-107983

RIA

Registered Investment Advisory firm - (6/13/2016 Approved)

California

Registered Investment Advisory firm - (7/15/2016 Terminated)

Utah

Registered Investment Advisory firm - (6/15/2016 Terminated)

Washington

Registered Investment Advisory firm - (7/15/2016 Terminated)

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Contact information

Main Address

5780 Fleet St. Suite 308, Carlsbad, CA 92008

Mailing Address

Phone number

(760) 602-3470

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ANCHOR BAY CAPITAL PART 2A (10/1/2025)

Regulatory assets under management

Total Number of Accounts	191
AUM (Assets Under Management)	$ 219,444,071

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.

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Advisor Monitoring

Firm Stability Insights

Scott Spiering

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ANCHOR BAY SECURITIES, LLC

PRUDENTIAL EQUITY GROUP, LLC

SPIERING & CO., INC.

KIDDER, PEABODY & CO. INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

ANCHOR BAY CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/21/1992

Series 63

Date: 6/3/1988

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/21/1988

Series 24

Date: 4/27/1992

Current Firm

ANCHOR BAY CAPITAL, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ANCHOR BAY CAPITAL, INC.

TRUST BUT VERIFY

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