Anthony J. Spena

INDEPENDENCE CAPITAL CO.

Willoughby, OH

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CRD#: 431748

Professional summary

Anthony Joseph Spena SR, who also goes by Anthony J Spena, Anthony Joseph Spena, Tony Spena Jr, Tony Spena Sr, Tony Spena, Anthony Joseph Spena Sr, is a registered financial advisor currently at INDEPENDENCE CAPITAL CO., INC. located in Willoughby, Ohio.

Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1972. Anthony has worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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. 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

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony Joseph Spena SR's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Anthony Joseph Spena SR'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 11, 2021 - Present

INDEPENDENCE CAPITAL CO., INC.

RIA

CRD#: 24723

Willoughby, OH

Current

February 10, 2021 - 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

January 15, 2018 - June 30, 2020

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

Ashtabula, OH

Past

December 5, 2017 - June 30, 2020

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

ASHTABULA, OH

Past

December 21, 2016 - December 6, 2017

KEY INVESTMENT SERVICES LLC

RIA

CRD#: 136300

MAYFIELD HEIGHTS, OH

Past

December 7, 2016 - December 6, 2017

KEY INVESTMENT SERVICES LLC

CRD#: 136300

MAYFIELD HEIGHTS, OH

Past

September 9, 2005 - December 6, 2016

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

Chardon, OH

Past

April 15, 2002 - January 28, 2005

NATCITY INVESTMENTS, INC.

RIA

CRD#: 17490

CLEVELAND, OH

Past

March 30, 2001 - December 31, 2001

NATCITY INSURANCE SERVICES, INC.

CRD#: 16989

CLEVELAND, OH

Past

March 30, 2001 - January 28, 2005

NATCITY INVESTMENTS, INC.

CRD#: 17490

CLEVELAND, OH

Past

January 3, 2001 - January 24, 2001

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

LINCOLN, NE

Past

October 8, 1996 - May 1, 1997

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

October 8, 1996 - March 23, 2001

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

October 20, 1980 - September 12, 1996

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

August 24, 1972 - September 12, 1996

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, 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

Arizona
(6/29/2021)

Florida
(1/3/2022)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/22/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/10/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 8/19/1972

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/16/1989

General Securities Principal 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

Anthony J. Spena

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony Joseph Spena SR's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Anthony Joseph Spena SR's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEPENDENCE CAPITAL CO., INC.

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL SERVICES, LLC

KEY INVESTMENT SERVICES LLC

KEY INVESTMENT SERVICES LLC

ALLSTATE FINANCIAL SERVICES, LLC

NATCITY INVESTMENTS, INC.

NATCITY INSURANCE SERVICES, INC.

NATCITY INVESTMENTS, INC.

ALLSTATE FINANCIAL SERVICES, LLC

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

EQUITABLE ADVISORS, LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

State Registrations and Notice Filings

Exams

Series 65

Date: 6/22/1999

Series 63

Date: 8/10/1992

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 8/19/1972

Series 24

Date: 2/16/1989

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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