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TS

Thomas G. Schneider

INDEPENDENCE CAPITAL CO.
Parma, OH 44129
Some features on this profile are disabled
CRD#: 1010134
TS

Professional summary

Thomas Gerard Schneider is a registered financial professional currently at INDEPENDENCE CAPITAL CO., INC. located in Parma, Ohio.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1981. Thomas has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Gerard Schneider'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®
None

Experience

Current

January 5, 2016 - Present

INDEPENDENCE CAPITAL CO., INC.

Office #1: 5579 Pearl Road, Ste 100, Parma, OH 44129Office #2: 5579 Pearl Road, Suite 100, Parma, OH 44129
RIA
BD
CRD#: 24723
Parma, OH
Past

April 18, 2011 - December 31, 2015

CONCORDE INVESTMENT SERVICES, LLC

BD
CRD#: 151604
MEDINA, OH
Past

December 1, 2006 - April 20, 2011

PROFESSIONAL ASSET MANAGEMENT, INC.

BD
CRD#: 21125
MEDINA, OH
Past

October 11, 2002 - December 12, 2006

BRECEK & YOUNG ADVISORS, INC.

RIA
CRD#: 40395
MEDINA, OH
Past

March 5, 2001 - December 12, 2006

BRECEK & YOUNG ADVISORS, INC.

BD
CRD#: 40395
MEDINA, OH
Past

September 12, 2000 - March 6, 2001

DONAHUE SECURITIES, INC.

BD
CRD#: 24330
CINCINNATI, OH
Past

January 3, 1995 - September 19, 2000

PRIM SECURITIES, INCORPORATED

BD
CRD#: 30504
INDEPENDENCE, OH
Past

November 27, 1984 - December 31, 1994

TITAN/VALUE EQUITIES GROUP, INC.

BD
CRD#: 6359
IRVINE, CA
Past

June 10, 1982 - December 11, 1984

FSC SECURITIES CORPORATION

BD
CRD#: 7461
Past

October 21, 1981 - April 14, 1982

BEACHWOOD INVESTMENTS, INC.

BD
CRD#: 7507

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Ohio
(1/5/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 11/17/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/19/1981
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/9/1987
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

IC
INDEPENDENCE CAPITAL CO., INC.
INDEPENDENCE CAPITAL CO., INC.

CRD#: 24723 / SEC#: , 8-41331

Arizona
Registered Investment Advisory firm - SEC (10/26/2015 Approved)
Florida
Registered Investment Advisory firm - SEC (1/2/2009 Approved)
Indiana
Registered Investment Advisory firm - SEC (4/2/2013 Approved)
Michigan
Registered Investment Advisory firm - SEC (1/5/2011 Approved)
Ohio
Registered Investment Advisory firm - SEC (8/9/1999 Approved)
Pennsylvania
Registered Investment Advisory firm - SEC (1/3/2011 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
5579 Pearl Road, Suite 100, Parma, OH 44129
Mailing Address
5579 Pearl Road, Suite 100, Parma, OH 44129
Phone number
(440) 888-7000
Established
Ohio since 04/29/1989
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
41

FINRA licenses (38 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
SCHEIMAN, THOMAS GREGORYPRESIDENT, CROP, SROP1508288
TOETZ, DAVID WILLIAMVP1379388
TWAROGOWSKI, DENNIS CLARENCECHIEF COMPLIANCE OFFICER1033169

Regulatory assets under management

Total Number of Accounts295
AUM (Assets Under Management)$ 99,922,105

Disclosures

Regulatory Event3

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.

Company Information

INDEPENDENCE CAPITAL CO., INC.

CRD#: 24723Parma, OH 44129

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