David C. Sabo

INDEPENDENCE CAPITAL CO.

North Royalton, OH 44133

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CRD#: 4107248

Professional summary

David Carl Sabo is a registered financial advisor currently at INDEPENDENCE CAPITAL CO., INC. located in North Royalton, Ohio.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. David has worked at 5 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 31 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, health, disability, long term care and annuity sales, 13374 Ridge Rd Cleveland OH 44133, Started 01/05/2019, 15 hrs/month, Compensation: Commission.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Carl Sabo's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view David Carl Sabo'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 1, 2011 - Present

INDEPENDENCE CAPITAL CO., INC.

Office #1: 13374 Ridge Rd #409, North Royalton, OH 44133

RIA

CRD#: 24723

North Royalton, OH

Current

February 4, 2011 - Present

INDEPENDENCE CAPITAL CO., INC.

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

RIA

CRD#: 24723

Parma, OH

Past

October 4, 2007 - December 31, 2009

1ST DISCOUNT BROKERAGE, INC.

RIA

CRD#: 39164

NORTH ROYALTON, OH

Past

September 8, 2005 - December 31, 2009

1ST DISCOUNT BROKERAGE, INC.

CRD#: 39164

NORTH ROYALTON, OH

Past

May 26, 2005 - August 24, 2005

WORLD GROUP SECURITIES, INC.

CRD#: 114473

DULUTH, GA

Past

September 26, 2003 - October 31, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

WESTLAKE, OH

Past

March 9, 2000 - December 9, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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

IAR

Ohio
(2/1/2011)

Ohio
(2/7/2011)

Tennessee
(12/1/2023)

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: 11/30/2023

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 3/24/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/25/2005

General Securities Representative Examination

General Industry/Product Exam

Series 31

Date: 3/31/2000

Futures Managed Funds 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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Advisor Monitoring

Firm Stability Insights

David C. Sabo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Carl Sabo's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view David Carl Sabo's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEPENDENCE CAPITAL CO., INC.

1ST DISCOUNT BROKERAGE, INC.

1ST DISCOUNT BROKERAGE, INC.

WORLD GROUP SECURITIES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/30/2023

Series 66

Date: 3/24/2000

SIE

Date: 10/1/2018

Series 7

Date: 5/25/2005

Series 31

Date: 3/31/2000

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

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