James L. Thomas

INDEPENDENCE CAPITAL CO.

Niles, OH

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CRD#: 1433569

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.

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.

Insurance Agent, Fixed life and annuity sales, 133 Sheredan Ave Niles OH 44446, Start 1/1/2022, 25 hrs/month, Compensation: Commission. High School Sports Official, Officiate High School Volleyball, 133 Sheredan Ave Niles OH 44446, Start 8/1/2022, 20 hrs/month, Compensation: Other per game pay

Blog Corner

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).

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

May 2, 2014 - Present

INDEPENDENCE CAPITAL CO., INC.

RIA

CRD#: 24723

Niles, OH

Current

August 22, 2013 - Present

INDEPENDENCE CAPITAL CO., INC.

Office #1: 5579 Pearl Road, Suite 100, Parma, OH 44129

RIA

CRD#: 24723

Parma, OH

Past

April 7, 2010 - January 30, 2012

THE HUNTINGTON INVESTMENT COMPANY

RIA

CRD#: 16986

YOUNGSTOWN, OH

Past

April 6, 2010 - January 30, 2012

THE HUNTINGTON INVESTMENT COMPANY

CRD#: 16986

YOUNGSTOWN, OH

Past

September 8, 2009 - April 6, 2010

LPL FINANCIAL LLC

RIA

CRD#: 6413

NILES, OH

Past

September 8, 2009 - April 6, 2010

LPL FINANCIAL LLC

CRD#: 6413

NILES, OH

Past

January 11, 2007 - September 8, 2009

MUTUAL SERVICE CORPORATION

RIA

CRD#: 4806

NILES, OH

Past

March 31, 1989 - September 8, 2009

MUTUAL SERVICE CORPORATION

CRD#: 4806

NILES, OH

Past

July 29, 1988 - March 31, 1989

LOWRY FINANCIAL SERVICES CORPORATION

CRD#: 7291

NORTH PALM BEACH, FL

Past

November 20, 1985 - August 22, 1988

EDWARD JONES

CRD#: 250

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.

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

Illinois
(1/3/2025)

Ohio
(8/23/2013)

IAR

Ohio
(5/2/2014)

Pennsylvania
(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

State Security Law Exam

IAR

Series 66

Date: 11/10/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/3/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/16/1985

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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

FINRA licenses (38 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
SCHEIMAN, THOMAS GREGORY	PRESIDENT, CROP, SROP	1508288
TOETZ, DAVID WILLIAM	VP	1379388
TWAROGOWSKI, DENNIS CLARENCE	CHIEF COMPLIANCE OFFICER	1033169

Regulatory assets under management

Total Number of Accounts	295
AUM (Assets Under Management)	$ 99,922,105

Disclosures

Regulatory Event

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

James L. Thomas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

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).

Certified licenses

Experience

INDEPENDENCE CAPITAL CO., INC.

THE HUNTINGTON INVESTMENT COMPANY

THE HUNTINGTON INVESTMENT COMPANY

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MUTUAL SERVICE CORPORATION

MUTUAL SERVICE CORPORATION

LOWRY FINANCIAL SERVICES CORPORATION

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 66

Date: 11/10/2006

Series 63

Date: 12/3/1985

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/16/1985

FINRA

Current Firm

INDEPENDENCE CAPITAL CO., INC.

Contact information

FINRA licenses (38 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

INDEPENDENCE CAPITAL CO., INC.

TRUST BUT VERIFY

Contact information

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