Anthony Joseph Spena SR

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Contact Information

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Disclosures on record.

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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Years of Experience

54 years registered in the securities industry

Current & Past Employments

Current

INDEPENDENCE CAPITAL CO., INC.Current·CRD# 24723

RIA

BD

Willoughby, OH

February 11, 2021 - Present

INDEPENDENCE CAPITAL CO., INC.Current·CRD# 24723

RIA

BD

1. 5579 Pearl Road, Ste 100, Parma, OH 441292. 5579 Pearl Road, Suite 100, Parma, OH 44129

February 10, 2021 - Present

Past

ALLSTATE FINANCIAL ADVISORS, LLCPast·CRD# 109524

RIA

Ashtabula, OH

January 15, 2018 - June 30, 2020

ALLSTATE FINANCIAL SERVICES, LLCPast·CRD# 18272

BD

Ashtabula, OH

December 5, 2017 - June 30, 2020

KEY INVESTMENT SERVICES LLCPast·CRD# 136300

RIA

Mayfield Heights, OH

December 21, 2016 - December 6, 2017

KEY INVESTMENT SERVICES LLCPast·CRD# 136300

BD

Mayfield Heights, OH

December 7, 2016 - December 6, 2017

ALLSTATE FINANCIAL SERVICES, LLCPast·CRD# 18272

BD

Chardon, OH

September 9, 2005 - December 6, 2016

NATCITY INVESTMENTS, INC.Past·CRD# 17490

RIA

Cleveland, OH

April 15, 2002 - January 28, 2005

NATCITY INVESTMENTS, INC.Past·CRD# 17490

BD

Cleveland, OH

March 30, 2001 - January 28, 2005

NATCITY INSURANCE SERVICES, INC.Past·CRD# 16989

BD

Cleveland, OH

March 30, 2001 - December 31, 2001

SIGNATOR INVESTORS, INC.Past·CRD# 468

BD

Boston, MA

October 8, 1996 - March 23, 2001

ALLSTATE FINANCIAL SERVICES, LLCPast·CRD# 18272

BD

Lincoln, NE

January 3, 2001 - January 24, 2001

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANYPast·CRD# 5181

BD

Boston, MA

October 8, 1996 - May 1, 1997

EQUITABLE ADVISORS, LLCPast·CRD# 6627

BD

New York, NY

October 20, 1980 - September 12, 1996

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATESPast·CRD# 4039

BD

New York, NY

August 24, 1972 - September 12, 1996

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Current Firm

IC

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 Terminated)

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 (10/21/2026 Terminated)

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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)

Registered to provide investment advisory services in 3 US states and territories.

FINRA licenses (38 States and Territories)

Registered to provide investment advisory services in 3 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

ADV FORM 2A (6/29/2026)

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

300

AUM (Assets Under Management)

$118,696,378

Disclosures

Regulatory Event

4

Arbitration

1

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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. Sell fixed life insurance and annuities, disability, health and long term care insurance. 4125 Polo Park Dr Willoughby OH 44094. Start 10/1970. 25 hrs/month. Compensation: Commission

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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.

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 Terminated)

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 (10/21/2026 Terminated)

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Arizona
(6/29/2021)

RR

Florida
(1/3/2022)

RR

Ohio
(2/11/2021)

IAR

Ohio
(2/11/2021)

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.