DT
Dennis C. Twarogowski
INDEPENDENCE CAPITAL CO.
Parma, OH 44129
Some features on this profile are disabled
CRD#: 1033169
DT
Professional summary
Dennis Clarence Twarogowski, CFP® is a registered financial advisor currently at INDEPENDENCE CAPITAL CO., INC. located in Parma, Ohio.
Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Dennis has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6, Series 14 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view Dennis Clarence Twarogowski's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dennis Clarence Twarogowski's 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®
Experience
Current
February 7, 2005 - Present
INDEPENDENCE CAPITAL CO., INC.
Office #1: 5579 Pearl Road, Suite 100, Parma, OH 44129Office #2: 833 Park Road Suite 201, Wyomissing, PA 19601Office #3: 5579 Pearl Road, Ste 100, Parma, OH 44129RIA
BD
CRD#: 24723
Parma, OH
Current
February 3, 2005 - Present
INDEPENDENCE CAPITAL CO., INC.
Office #1: 5579 Pearl Road, Suite 100, Parma, OH 44129Office #2: 5579 Pearl Road, Suite 100, Parma, OH 44129Office #3: 833 Park Road Suite 201, Wyomissing, PA 19601RIA
BD
CRD#: 24723
Parma, OH
Past
May 20, 1987 - March 2, 2005
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
CINCINNATI, OH
Past
March 22, 1984 - April 23, 1987
MANAGED INVESTMENTS, INC.
BD
CRD#: 2640
Past
April 30, 1982 - January 9, 1986
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arizona(11/28/2023)
RR
Connecticut(11/14/2008)
RR
Florida(10/13/2011)
RR
Georgia(6/3/2016)
RR
Indiana(6/11/2007)
RR
Kentucky(1/17/2012)
RR
Maine(10/17/2011)
RR
Massachusetts(3/24/2021)
RR
New Mexico(1/9/2019)
RR
Ohio(2/3/2005)
IAR
Ohio(2/7/2005)
IAR
Pennsylvania(1/3/2011)
RR
Tennessee(8/27/2018)
RR
West Virginia(1/23/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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)
Regulatory assets under management
| Total Number of Accounts | 295 |
| AUM (Assets Under Management) | $ 99,922,105 |
Disclosures
| Regulatory Event | 3 |
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.
