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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

ANTHONY JOSEPH SPENA

Advisor at INDEPENDENCE CAPITAL CO., INC.

Willoughby, OH | PARMA, OH

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Search this name across graphsid dfx:ria:abb218ba-7784-5ae0-6959-ae8ea0391abe

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 15, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: INDEPENDENCE CAPITAL CO., INC.
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 10, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Aug 10, 1992
First registration: Apr 15, 2002
Dual registered: yes, broker-dealer
Other names: TONY SPENA|ANTHONY JOSEPH SPENA|TONY SPENA|ANTHONY J SPENA|ANTHONY JOSEPH SPENA|TONY SPENA|ANTHONY JOSEPH SPENA SR
IAPD individual key: 431748

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
INDEPENDENCE CAPITAL CO., INC.	Independent wealth	Feb 11, 2021	n/a	yes	Willoughby, OH\|PARMA, OH\|Willoughby, OH\|PARMA, OH	Current employment
ALLSTATE FINANCIAL ADVISORS, LLC	Bd affiliated wealth	Jan 15, 2018	Jun 30, 2020	no	Ashtabula, OH	Previous registration
KEY INVESTMENT SERVICES LLC	Bd affiliated wealth	Dec 21, 2016	Dec 6, 2017	no	Cleveland, OH\|MAYFIELD HEIGHTS, OH	Previous registration
NATCITY INVESTMENTS, INC.	n/a	Apr 15, 2002	Jan 28, 2005	no	CLEVELAND, OH	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ALLSTATE FINANCIAL ADVISORS, LLC	INDEPENDENCE CAPITAL CO., INC.	Jun 30, 2020	Feb 11, 2021	226	Firm change	Ibd to RIA
KEY INVESTMENT SERVICES LLC	ALLSTATE FINANCIAL ADVISORS, LLC	Dec 6, 2017	Jan 15, 2018	40	Firm change	Other
NATCITY INVESTMENTS, INC.	KEY INVESTMENT SERVICES LLC	Jan 28, 2005	Dec 21, 2016	4,345	Firm change after gap	Other

Relationships

Registered with (4)

→ INDEPENDENCE CAPITAL CO., INC.Registered adviserregistration: current employment
Feb 11, 2021 to presentfactForm ADV
→ ALLSTATE FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Jan 15, 2018 to Jun 30, 2020factForm ADV
→ KEY INVESTMENT SERVICES LLCRegistered adviserregistration: previous registration
Dec 21, 2016 to Dec 6, 2017factForm ADV
→ NATCITY INVESTMENTS, INC.Registered adviserregistration: previous registration
Apr 15, 2002 to Jan 28, 2005factForm ADV

Dated events

No dated event names this entity yet.