Daniel F. Coxe

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CRD#: 1884928

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.

Daniel Frank Coxe was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1988. Daniel had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 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.

Hass Heights Growers, Inc., no investments, 2990 De Luz Heights Road, Fallbrook, CA 92028,Avocado farm, President, started 06/2004, 32 hours/ month 15 during trading hours, oversee and plan business of growing avocados.

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

October 6, 2022 - January 12, 2023

ANCHOR BAY CAPITAL, INC.

RIA

CRD#: 116913

Carlsbad, CA

Past

March 28, 2018 - November 30, 2022

DANIEL F. COXE, INVESTMENT ADVISOR

RIA

CRD#: 135819

FALLBROOK, CA

Past

November 23, 1988 - September 25, 1998

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

November 23, 1988 - September 25, 1998

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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: 6/30/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/15/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/19/1988

General Securities Representative 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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Daniel F. Coxe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ANCHOR BAY CAPITAL, INC.

DANIEL F. COXE, INVESTMENT ADVISOR

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

ANCHOR BAY CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/30/1998

Series 63

Date: 3/15/1991

Series 7

Date: 11/19/1988

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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