David A. Cassese

INDEPENDENCE CAPITAL CO.

Chesterland, OH

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CRD#: 3188291

Professional summary

David Andrew Cassese is a registered financial advisor currently at INDEPENDENCE CAPITAL CO., INC. located in Chesterland, Ohio.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. David has worked at 3 firms and has passed the SIE and Series 6 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Andrew Cassese's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view David Andrew Cassese'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

February 16, 2016 - Present

INDEPENDENCE CAPITAL CO., INC.

RIA

CRD#: 24723

Chesterland, OH

Current

December 12, 2005 - 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

June 18, 2004 - December 9, 2005

LEGACY FINANCIAL SERVICES, INC.

CRD#: 38697

PETALUMA, CA

Past

July 10, 2001 - February 26, 2004

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

January 9, 2001 - May 29, 2001

INDEPENDENCE CAPITAL CO., INC.

CRD#: 24723

PARMA, OH

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
(12/12/2005)

IAR

Ohio
(2/16/2016)

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

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/8/2001

Investment Company Products/Variable Contracts 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.

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Firm Stability Insights

David A. Cassese

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Andrew Cassese's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view David Andrew Cassese's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEPENDENCE CAPITAL CO., INC.

LEGACY FINANCIAL SERVICES, INC.

SIGNATOR INVESTORS, INC.

INDEPENDENCE CAPITAL CO., INC.

State Registrations and Notice Filings

Exams

SIE

Date: 10/1/2018

Series 6

Date: 1/8/2001

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

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