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Thomas A. Clark

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CRD#: 2163745
TC

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Thomas Allen Clark was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1991. Thomas had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 9, 2003 - December 11, 2013

INDEPENDENCE CAPITAL CO., INC.

RIA
CRD#: 24723
PARMA, OH
Past

June 9, 2003 - December 31, 2015

INDEPENDENCE CAPITAL CO., INC.

BD
CRD#: 24723
PARMA, OH
Past

October 18, 1999 - June 16, 2003

LPL FINANCIAL LLC

RIA
CRD#: 6413
COLUMBUS, OH
Past

August 18, 1999 - June 16, 2003

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

June 1, 1999 - July 26, 1999

AMFIN INVESTMENT SERVICES, INC.

BD
CRD#: 13945
CLEVELAND, OH
Past

September 10, 1997 - June 7, 1999

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

August 18, 1993 - November 10, 1997

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
NEW YORK, NY
Past

August 19, 1991 - June 7, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
NEWARK, NJ
Past

August 19, 1991 - June 7, 1993

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 10/10/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/18/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/31/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/9/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/16/1991
Investment Company Products/Variable Contracts Representative Examination

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
SCHEIMAN, THOMAS GREGORYPRESIDENT, CROP, SROP1508288
TOETZ, DAVID WILLIAMVP1379388
TWAROGOWSKI, DENNIS CLARENCECHIEF COMPLIANCE OFFICER1033169

Regulatory assets under management

Total Number of Accounts295
AUM (Assets Under Management)$ 99,922,105

Disclosures

Regulatory Event3

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.

Company Information

INDEPENDENCE CAPITAL CO., INC.

CRD#: 24723

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