Thomas Dlugopolsky
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thomas Gregory Dlugopolsky
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
10 years in the financial services industry
Current & Past Employments
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Current Firm
INDEPENDENCE CAPITAL CO., INC.
Contact Information
Main Address
5579 Pearl Road, Suite 100, Parma, OH 44129Mailing Address
5579 Pearl Road, Suite 100, Parma, OH 44129Phone Number
(440) 888-7000Established
Ohio since 04/29/1989Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
43SEC 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
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
300AUM (Assets Under Management)
$118,696,378Disclosures
Regulatory Event
4Arbitration
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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.
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Primary Firm SEC Registration
INDEPENDENCE CAPITAL CO., INC.
State Registrations and Notice Filings
(3/30/2026)
(11/12/2021)
(11/12/2021)
(7/26/2018)
(7/26/2018)
(9/14/2026)
(4/4/2026)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jun 2024About the Series 52TO examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Feb 2016About the Series 6 examSRO Registrations
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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).
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