Margaret K. Ulrich

INDEPENDENCE CAPITAL CO.

Parma, OH 44129

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CRD#: 1938681

Professional summary

Margaret Kathryn Ulrich, CFP®, who also goes by Margaret Kathryn Brown, M. Kathryn Rybicki, Margaret Rybicki, Kathy Ulrich, M. Kathryn Ulrich, Margaret Kathryn Ulrich-rybicki, is a registered financial advisor currently at INDEPENDENCE CAPITAL CO., INC. located in Parma, Ohio.

Margaret is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Margaret has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

What are your service offerings?

Retirement Income Management

Insurance Planning

Health Care

Estate Planning

Elder Care

Retirement Planning

Are you a "fiduciary"?

Yes

Aliases

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, Life health and Medicare supplemental insurance sales and fixed annuity sales, 857 Tollis Pkwy Broadview Hts OH 44147, 8-12 hrs/month, Compensation: Commission.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Margaret Kathryn Ulrich's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Margaret Kathryn Ulrich'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®

CFP^®

Certified Financial Planner

Start date: 1994

Experience

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 44129

RIA

CRD#: 24723

Parma, OH

Current

March 30, 2004 - Present

INDEPENDENCE CAPITAL CO., INC.

Office #1: 5579 Pearl Road, Suite 100, Parma, OH 44129Office #2: 5579 Pearl Road, Suite 100, Parma, OH 44129

RIA

CRD#: 24723

Parma, OH

Past

April 15, 2002 - October 31, 2002

INDEPENDENCE CAPITAL CO., INC.

CRD#: 24723

PARMA, OH

Past

June 19, 2001 - April 3, 2002

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

May 16, 2000 - June 12, 2001

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

January 29, 1999 - May 17, 2000

INDEPENDENCE CAPITAL CO., INC.

CRD#: 24723

PARMA, OH

Past

March 29, 1996 - November 18, 1998

INDEPENDENCE CAPITAL CO., INC.

CRD#: 24723

PARMA, OH

Past

March 26, 1990 - July 31, 1995

TRANSAMERICA SECURITIES SALES CORPORATION

CRD#: 17970

LOS ANGELES, CA

Past

March 26, 1990 - April 18, 1996

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

LOS ANGELES, CA

Past

April 18, 1989 - October 10, 1989

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

April 18, 1989 - October 10, 1989

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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

Ohio
(3/30/2004)

IAR

Ohio
(1/14/2009)

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

Series 63

Date: 9/23/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/27/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/17/1989

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/28/2000

General Securities Principal 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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Advisor Monitoring

Firm Stability Insights

Margaret K. Ulrich

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Margaret Kathryn Ulrich's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Margaret Kathryn Ulrich's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEPENDENCE CAPITAL CO., INC.

INDEPENDENCE CAPITAL CO., INC.

WADDELL & REED

TRANSAMERICA FINANCIAL ADVISORS, LLC

INDEPENDENCE CAPITAL CO., INC.

INDEPENDENCE CAPITAL CO., INC.

TRANSAMERICA SECURITIES SALES CORPORATION

TRANSAMERICA FINANCIAL ADVISORS, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/23/1994

SIE

Date: 10/1/2018

Series 7

Date: 10/27/1999

Series 6

Date: 4/17/1989

Series 24

Date: 3/28/2000

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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