James Lang Thomas
Professional Summary
James Lang Thomas is a registered financial advisor currently at INDEPENDENCE CAPITAL CO., INC. located in Niles, Ohio. James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. James has worked at 6 firms and has passed the Series 66, Series 63, Series 6TO, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
41 years in the financial services industry
Current & Past Employments
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Current Firm
INDEPENDENCE CAPITAL CO., INC.
Contact Information
Main Address
5579 Pearl Road, Suite 100, Parma, OH 44129Mailing Address
5579 Pearl Road, Suite 100, Parma, OH 44129Phone Number
(440) 888-7000Established
Ohio since 04/29/1989Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
43SEC notice filing (3 States and Territories)
Registered to provide investment advisory services in 3 US states and territories.
FINRA licenses (38 States and Territories)
Registered to provide investment advisory services in 3 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
300AUM (Assets Under Management)
$118,696,378Disclosures
Regulatory Event
4Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
INDEPENDENCE CAPITAL CO., INC.
State Registrations and Notice Filings
(1/3/2025)
(8/23/2013)
(5/2/2014)
(3/18/2014)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2023About the Series 6TO examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view James Lang Thomas's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Lang Thomas's CRS (Customer Relationship Summary).
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