SF
Stephen M. Franko
INDEPENDENCE CAPITAL CO.
MT. VERNON, OH 43050
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CRD#: 2157707
SF
Stephen Michael FrankoINDEPENDENCE CAPITAL CO.
Professional summary
Stephen Michael Franko, who also goes by Stephen M Franko, Steve Franko, is a registered financial advisor currently at INDEPENDENCE CAPITAL CO., INC. located in Mt. Vernon, Ohio.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Stephen has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Aliases
Stephen M Franko | Steve Franko
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, annuity, long term care, disability and health insurance, 1215 Yauger Road PO Box 631 Mt. Vernon OH 43050, 08/2000, 5-15 hrs/month, Compensation: Commission
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Michael Franko's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen Michael Franko'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
August 19, 2026 - Present
INDEPENDENCE CAPITAL CO., INC.
Office #1: 1215 Yauger Road, Mt. Vernon, OH 43050Office #2: 5579 Pearl Road, Ste 100, Parma, OH 44129RIA
BD
CRD#: 24723
MT. VERNON, OH
Current
August 8, 2000 - Present
INDEPENDENCE CAPITAL CO., INC.
Office #1: 1215 Yauger Road, Mt. Vernon, OH 43050Office #2: 5579 Pearl Road, Suite 100, Parma, OH 44129RIA
BD
CRD#: 24723
MT. VERNON, OH
Past
February 4, 2014 - January 29, 2026
INDEPENDENCE CAPITAL CO., INC.
RIA
CRD#: 24723
PARMA, OH
Past
September 24, 1997 - August 7, 2000
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, CA
Past
July 11, 1997 - September 26, 1997
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
BD
CRD#: 2864
BRYAN, OH
Past
January 3, 1997 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
January 3, 1997 - August 5, 1997
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
May 29, 1994 - December 31, 1996
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, CA
Past
August 9, 1991 - June 19, 1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
August 9, 1991 - June 19, 1992
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
IC
INDEPENDENCE CAPITAL CO., INC.
INDEPENDENCE CAPITAL CO., INC.
CRD#: 24723 / SEC#: 801-136903, 8-41331
RIA
Registered Investment Advisory firm - SEC (8/6/2026 Approved)Arizona
Registered Investment Advisory firm - SEC (8/21/2026 Termination Requested)Florida
Registered Investment Advisory firm - SEC (8/21/2026 Terminated)Indiana
Registered Investment Advisory firm - SEC (8/24/2026 Terminated)Michigan
Registered Investment Advisory firm - SEC (8/21/2026 Termination Requested)Ohio
Registered Investment Advisory firm - SEC (8/21/2026 Termination Requested)Pennsylvania
Registered Investment Advisory firm - SEC (8/24/2026 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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
Ohio(8/19/2026)
IAR
Ohio(8/19/2026)
Exams
What does exam status mean?
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 6
Passed: 8/7/1991
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA
Current Firm
IC
INDEPENDENCE CAPITAL CO., INC.
INDEPENDENCE CAPITAL CO., INC.
CRD#: 24723 / SEC#: 801-136903, 8-41331
RIA
Registered Investment Advisory firm - SEC (8/6/2026 Approved)Arizona
Registered Investment Advisory firm - SEC (8/21/2026 Termination Requested)Florida
Registered Investment Advisory firm - SEC (8/21/2026 Terminated)Indiana
Registered Investment Advisory firm - SEC (8/24/2026 Terminated)Michigan
Registered Investment Advisory firm - SEC (8/21/2026 Termination Requested)Ohio
Registered Investment Advisory firm - SEC (8/21/2026 Termination Requested)Pennsylvania
Registered Investment Advisory firm - SEC (8/24/2026 Terminated)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
43
SEC notice filing (3 States and Territories)
FINRA licenses (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 300 |
| AUM (Assets Under Management) | $ 118,696,378 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
