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SH

Shu-hsin S. Hsieh

INDEPENDENCE CAPITAL CO.
Parma, OH 44129
Some features on this profile are disabled
CRD#: 6222434
SH

Professional summary

Shu-hsin Suzanne Hsieh is a registered financial professional currently at INDEPENDENCE CAPITAL CO., INC. located in Parma, Ohio.

Shu-hsin is registered as a RR (Registered Representative) and started their career in finance in 2013. Shu-hsin has worked at 4 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Shu-hsin Suzanne Hsieh'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

January 6, 2026 - Present

INDEPENDENCE CAPITAL CO., INC.

Office #1: 5579 Pearl Road, Ste 100, Parma, OH 44129
RIA
BD
CRD#: 24723
Parma, OH
Past

July 19, 2022 - November 19, 2025

TRANSGLOBAL ADVISORY, LLC

RIA
CRD#: 168709
Las Vegas, NV
Past

February 1, 2022 - November 19, 2025

GLOBALINK SECURITIES, INC.

BD
CRD#: 29721
PASADENA, CA
Past

October 25, 2013 - August 11, 2021

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
CRD#: 16164
MALVERN, PA
Past

July 8, 2013 - August 11, 2021

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
MALVERN, PA

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
Maryland
(1/6/2026)
RR
Nevada
(1/6/2026)
RR
New Jersey
(1/6/2026)
RR
Ohio
(1/6/2026)
RR
Virginia
(1/6/2026)
RR
Washington
(2/23/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 10/31/2013
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 10/25/2013
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 7/8/2013
Investment Company Products/Variable Contracts 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 Event4

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#: 24723Parma, OH 44129

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