TD
Thomas Dlugopolsky
INDEPENDENCE CAPITAL CO.
Parma, OH 44129
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CRD#: 6600880
TD
Professional summary
Thomas Dlugopolsky, who also goes by Thomas Gregory Dlugopolsky, is a registered financial advisor currently at INDEPENDENCE CAPITAL CO., INC. located in Parma, Ohio.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Thomas has worked at 2 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas Gregory Dlugopolsky
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.
INDIVIDUAL LIFE, TRADITIONAL LIFE, DI, LTC, FIXED ANNUITIES INSURANCE SALES 16409 Ernadale Ave Cleveland 44111 thru IMO Business underwriters association and JLThomas (2) NAME: DELTA SIGMA PHI, DELTA OMEGA ALUMNI CONTROL BOARD INV REL: Y ADDR: PO BOX 360881 STRONGSVILLE, OH 44136 NATURE: COMPENSATED BOARD SERVICE-FRATERNITY FUNDRAISING POSITION: BOARD MEMBER START: 1/1/2015 NO HRS/MO: North Coast Men's Chorus 3hr.Health Insurance Hourly 10 a month
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Dlugopolsky's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Dlugopolsky's 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®
NoneExperience
Current
July 26, 2018 - Present
INDEPENDENCE CAPITAL CO., INC.
Office #1: 5579 Pearl Road, Ste 100, Parma, OH 44129RIA
BD
CRD#: 24723
Parma, OH
Current
July 26, 2018 - Present
INDEPENDENCE CAPITAL CO., INC.
Office #1: 5579 Pearl Road, Suite 100, Parma, OH 44129RIA
BD
CRD#: 24723
Parma, OH
Past
February 18, 2016 - July 23, 2018
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
CLEVELAND, OH
Past
February 4, 2016 - July 23, 2018
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
CLEVELAND, OH
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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Michigan(11/12/2021)
IAR
Michigan(11/12/2021)
RR
Ohio(7/26/2018)
IAR
Ohio(7/26/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 6/27/2024
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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)
Regulatory assets under management
| Total Number of Accounts | 295 |
| AUM (Assets Under Management) | $ 99,922,105 |
Disclosures
| Regulatory Event | 3 |
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.
