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CM

Christa M. Mcgillen

INDEPENDENCE CAPITAL CO.
Naples, FL 34103
Some features on this profile are disabled
CRD#: 4302284
CM

Professional summary

Christa M Mcgillen, who also goes by Christa Marie Mcgillen, Christa M Wetherbee, is a registered financial professional currently at INDEPENDENCE CAPITAL CO., INC. located in Naples, Florida.

Christa is registered as a RR (Registered Representative) and started their career in finance in 2000. Christa has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Christa Marie Mcgillen | Christa M Wetherbee

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.
*393178 - Real Estate; Investment related - Yes; Hawthorne, New Jersey; Landlord (proprietor, partner, officer, director, employee, trustee, agent); Mar 2020; During business hours: 0; After business hours: 1; Collect Rent, Address Any Issues The Tenant Has

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Christa M Mcgillen'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

September 24, 2024 - Present

INDEPENDENCE CAPITAL CO., INC.

Office #1: 5150 Tamiami Trail N. Suite 505, Naples, FL 34103
RIA
BD
CRD#: 24723
Naples, FL
Past

May 18, 2020 - June 2, 2023

MORGAN STANLEY

RIA
CRD#: 149777
New York, NY
Past

June 1, 2009 - June 2, 2023

MORGAN STANLEY

BD
CRD#: 149777
New York, NY
Past

December 6, 2000 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

State Registrations and Notice Filings

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

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
Florida
(9/25/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 12/22/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/5/2000
General Securities Representative Examination
SRO Registrations
RR
FINRA

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#: 24723Naples, FL 34103

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