Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Spiering is a financial advisor at Anchor Bay Capital, Inc. located in Carlsbad, CA. Scott has been in the financial industry for 35 years. He has a Series 63, Series 65, and Series 24 license. Scott's previous employers include Spiering & Co., Inc., Prudential Securities Incorporated, Kidder, Peabody & Co. Incorporated, and Merrill Lynch, Pierce, Fenner & Smith Incorporated. He is registered to provide financial advice in California, Utah, and Washington. Scott specializes in portfolio management for individuals and businesses. He offers financial planning, pension consulting and investment management services.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
CA
07/25/2012 - Present
Anchor BAY Capital, Inc. (CARLSBAD CA)
NA
05/22/1992 - 05/25/1999
SPIERING & CO., INC.
NY
08/13/1996 - 03/20/1998
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
08/13/1991 - 05/18/1992
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NY
05/25/1988 - 08/27/1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 01/21/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/03/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/27/1992
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/21/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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