DT
David W. Toetz
INDEPENDENCE CAPITAL CO.
Parma, OH 44129
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CRD#: 1379388
DT
Professional summary
David William Toetz is a registered financial advisor currently at INDEPENDENCE CAPITAL CO., INC. located in Parma, Ohio.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. David has worked at 4 firms and has passed the Series 63, SIE and Series 7 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.
Attorney, tax prep, 5579 Pearl Rd Ste 203 Parma OH 44129, Start 11/1/1983, 4 hrs/month, Compensation: Hourly. Insurance Agent, Fixed life and annuity sales, 5579 Pearl Rd Ste 203 Parma OH 44129, Start 8/23/2003, 4 hrs/month, Compensation: Commission. Public Defender (Brooklyn Hts ), Legal Services, 5555 Powers Blvd Parma OH 44129, 04/1/1999, 6 hrs/month, Compensation: Hourly. Board of Directors, PSE Credit Union Inc., 5255 Regency Dr Parma OH 44129, start 10/1/2013, 3 hrs/month, Compensation: None. Attorney (Private Practice), Legal Services, 5579 Pearl Rd Ste 203 Parma OH 44129, Start 11/1/1983, 80 hrs/month, Compensation: Hourly.
CRS (Client Relationship Summary) - RIA
Click below to view David William Toetz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David William Toetz'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®
NoneExperience
Current
January 14, 2009 - Present
INDEPENDENCE CAPITAL CO., INC.
Office #1: 5579 Pearl Road, Suite 100, Parma, OH 44129Office #2: 5579 Pearl Road, Ste 100, Parma, OH 44129RIA
BD
CRD#: 24723
Parma, OH
Current
September 23, 2002 - Present
INDEPENDENCE CAPITAL CO., INC.
Office #1: 5579 Pearl Road, Suite 100, Parma, OH 44129Office #2: 5579 Pearl Road, Suite 100, Parma, OH 44129RIA
BD
CRD#: 24723
Parma, OH
Past
January 29, 2001 - September 24, 2002
SICOR SECURITIES INC
BD
CRD#: 16195
DAYTON, OH
Past
April 14, 1987 - December 31, 2000
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
CINCINNATI, OH
Past
July 24, 1985 - April 23, 1987
MANAGED INVESTMENTS, INC.
BD
CRD#: 2640
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
California(7/19/2021)
RR
Delaware(8/2/2018)
RR
Indiana(6/11/2007)
RR
North Carolina(3/27/2012)
RR
Ohio(2/21/2003)
IAR
Ohio(1/14/2009)
RR
Pennsylvania(7/12/2007)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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)
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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)
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.
