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Current Employers
Independent Capital

200 E Randolph St Ste 5100, Chicago, IL 60601 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2026-07-15
  • IL RA
    APPROVED
    Since 2026-07-15

Branch Locations

200 E Randolph St Ste 5100, Chicago, IL 60601 • United States

Cooper Financial Services, Inc.

1000 Bridgeport Avenue Suite 308, Shelton, CT 06484 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2026-02-24
  • CT RA
    APPROVED
    Since 2026-02-24

Branch Locations

1000 Bridgeport Avenue Suite 308, Shelton, CT 06484 • United States

Chicago, IL • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Hanover Securities Chicago IL 01/2014 01/2018
Vestor Capital Securities, Llc Chicago IL 01/2015 12/2017
Cfs Securities, Inc. Chicago IL 01/2017 Present
International Assets Advisory, Llc Orlando FL 01/2018 05/2018
Xy Investment Solutions, Llc Bozeman MT 02/2021 01/2022
Early Capital, Llc Chicago IL 07/2018 02/2021
Key Bridge Compliance, Llc Covington KY 01/2022 Present
  • 01/2014 → 01/2018
    Hanover Securities
    Chicago, IL
  • 01/2015 → 12/2017
    Vestor Capital Securities, Llc
    Chicago, IL
  • 01/2017 → Present
    Cfs Securities, Inc.
    Chicago, IL
  • 01/2018 → 05/2018
    International Assets Advisory, Llc
    Orlando, FL
  • 02/2021 → 01/2022
    Xy Investment Solutions, Llc
    Bozeman, MT
  • 07/2018 → 02/2021
    Early Capital, Llc
    Chicago, IL
  • 01/2022 → Present
    Key Bridge Compliance, Llc
    Covington, KY
Previous Registrations
Other Businesses

1) KEY BRIDGE COMPLIANCE, LLC, INVESTMENT-RELATED, COVINGTON, KY - DIRECTOR, COMPLIANCE SERVICES SINCE 1/2022 - APPROX. 160 HOURS/MONTH, APPROX. 143 HOURS/MONTH DURING TRADING, CONSULTING. 2) MAROON CAPITAL PARTNERS, LLC, INVESTMENT-RELATED, CHICAGO, IL - MANAGING MEMBER SINCE 01/2023 - APPROX. 1 HOUR/MONTH, APPROX. 0 HOURS DURING TRADING, HOLDING COMPANY. 3) INDEPENDENT CAPITAL, LLC, INVESTMENT-RELATED, CHICAGO, IL - MANAGER SINCE 01/2026 - APPROX. 1 HOUR/MONTH, APPROX. 0 HOURS DURING TRADING, FINANCIAL SERVICES. 4) INDEPENDENT CAPITAL MANAGEMENT, INC., INVESTMENT-RELATED, SAN CLEMENTE, CA - BOARD DIRECTOR SINCE 06/2026 - APPROX. 1 HOUR/MONTH, APPROX. 0 HOURS DURING TRADING, FINANCIAL SERVICES.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-03-24
S66 Uniform Combined State Law Examination 2009-04-09
  • S65 Uniform Investment Adviser Law Examination
    2015-03-24
  • S66 Uniform Combined State Law Examination
    2009-04-09
Other Names
  • Thomas Kerney
  • Thomas Dekari Kerney
  • Thomas D Kerney

View on SEC IAPD

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