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JM

Joseph Marchenia

Some features on this profile are disabled
CRD#: 6154903
JM

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Joseph Marchenia, who also goes by Joseph G Marchenia, Joseph Gregory Marchenia, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 2013. Joseph had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joseph G Marchenia | Joseph Gregory Marchenia

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 27, 2021 - November 22, 2021

INDEPENDENCE CAPITAL CO., INC.

BD
CRD#: 24723
WARREN, MI
Past

May 20, 2021 - November 18, 2021

FINANCIAL SERVICES OF AMERICA ADVISORS

RIA
CRD#: 286251
WARREN, MI
Past

April 27, 2020 - June 5, 2020

CITY CENTER ADVISORS, LLC

RIA
CRD#: 203513
EAST LANSING, MI
Past

August 19, 2019 - September 9, 2019

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
TROY, MI
Past

August 19, 2019 - September 9, 2019

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
TROY, MI
Past

December 3, 2018 - July 19, 2019

TD AMERITRADE, INC.

RIA
CRD#: 7870
BIRMINGHAM, MI
Past

December 3, 2018 - July 19, 2019

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
Birmingham, MI
Past

December 3, 2018 - July 19, 2019

TD AMERITRADE, INC.

BD
CRD#: 7870
BIRMINGHAM, MI
Past

June 27, 2016 - May 24, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
TROY, MI
Past

June 23, 2016 - May 24, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
TROY, MI
Past

January 14, 2016 - March 31, 2016

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
BIRMINGHAM, MI
Past

January 12, 2016 - March 31, 2016

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
BIRMINGHAM, MI
Past

April 2, 2013 - October 14, 2015

MORGAN STANLEY

RIA
CRD#: 149777
TROY, MI
Past

February 28, 2013 - October 14, 2015

MORGAN STANLEY

BD
CRD#: 149777
TROY, MI

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/29/2013
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/24/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/27/2013
General Securities Representative Examination

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#: 24723

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