Stacey Buchholtz has been an investment adviser representative at Anchor Bay Capital since December 2024, and is not listed among the firm’s executive officers or direct owners.
Anchor Bay Capital, Inc. is a Carlsbad, CA firm with $247M under management, 190 clients and 5 advisers across 2 offices, as of its March 2026 filing.
Stacey Buchholtz is Associate Financial Planner and Notary Public at Anchor Bay Capital, where she leads the Client Services department. She has over 30 years of experience in the insurance and financial services industry, including 15 years as a Regional Executive Wholesale Manager and six years as a Health Insurance Broker. Before joining Anchor Bay, she served as a Financial Advisor with Prudential.
Stacey Buchholtz’s longest registration was 2 years at Anchor Bay Private Wealth LLC (2024–2026). Before joining Anchor Bay Capital in 2024, Stacey Buchholtz was registered through Anchor Bay Private Wealth LLC and Prudential Financial Planning Services.
- Anchor Bay Capital, Inc.Current– present · 1 yearCarlsbad, CA · Adviser representative · Firm CRD 116913
- Anchor Bay Private Wealth LLC– · 2 yearsCarlsbad, CA · Adviser representative · Firm CRD 327418
- Prudential Financial Planning Services– · under a yearSan Diego, CA · Adviser representative · Firm CRD 5685
Investment adviser representative registrations
Stacey Buchholtz is registered as an investment adviser representative in 3 states. Each was approved in December 2024.
- CaliforniaSince 20 December 2024
- UtahSince 23 December 2024
- WashingtonSince 20 December 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 15 October 2021 |
| Series 63 | Uniform Securities Agent State Law Examination | 6 February 2020 |
| Series 7TO | General Securities Representative Examination | 27 January 2020 |
| SIE | Securities Industry Essentials Examination | 31 October 2019 |
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Full name
- Stacey Lynn Buchholtz
- CRD
- 7173059
- Firm
- Anchor Bay Capital · CRD 116913
- Office
- 5780 FLEET ST., SUITE 308, Carlsbad, CA 92008
- Registration
- Investment adviser registration
- In the industry since
- October 2021
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- anchorbaycapital.com
Where does Stacey Buchholtz work?
Stacey Buchholtz is an investment adviser representative registered through Anchor Bay Capital, Inc. since December 2024, and is not listed among the firm’s executive officers or direct owners.
Is Stacey Buchholtz a financial advisor?
Yes. Stacey Buchholtz has a current investment-adviser registration in California, Utah and Washington, through Anchor Bay Capital since December 2024.
How many years of experience does Stacey Buchholtz have?
Stacey Buchholtz has 5 years in the financial industry, since October 2021, across 3 adviser firms.
What exams has Stacey Buchholtz passed?
Stacey Buchholtz has passed 4 licensing exams: the SIE, Series 7TO, Series 63 and Series 66. The earliest, the SIE, was passed in October 2019.
Where did Stacey Buchholtz work before Anchor Bay Capital?
Before Anchor Bay Capital, Stacey Buchholtz was registered through Prudential Financial Planning Services, October 2021 to June 2022.
Where is Stacey Buchholtz based?
Stacey Buchholtz’s registered office is in Carlsbad, CA.
Is Stacey Buchholtz registered with FINRA?
No. Stacey Buchholtz has no current broker registration.
How can I verify Stacey Buchholtz’s record?
Search CRD 7173059 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Stacey Buchholtz’s full registration record.
