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Shane Michael Alsworth

ALSWORTH CAPITAL MANAGEMENT, LLC·CORNING, New York
SIE, Series 7, Series 65, Series 66CFPClean record18 years registeredALSWORTH CAPITAL MANAGEMENT, LLC
4 WEST MARKET STREET, CORNING, NY 14830CRD# 4418062Firm CRD# 281417

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Shane Michael Alsworth · CORNING, NY
Registration
CRD #4418062 · ALSWORTH CAPITAL MANAGEMENT, LLC · 18 years registered
Brand Profile
Not yet started
01

Career History

ALSWORTH CAPITAL MANAGEMENT, LLC
Aug 2021 – present
CADARET GRANT & CO INC
May 2016 – Jun 2022
Corning, NY
NANCY A SOCHA & ASSOCIATES, LLC
Jun 2008 – Sep 2008
CORNING, NY
02

Registrations & Exams

FINRA examinations passed
SIE
Series 7
Series 65
Series 66
Registration record
First registered · June 17, 2008
Years registered · 18
Professional designation · CFP
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
ALSWORTH CAPITAL MANAGEMENT, LLC
CRD 281417 · SEC 801-113550
AUM
$84M
Regulatory assets under management
Employees
6
169 client accounts
Services offered by ALSWORTH CAPITAL MANAGEMENT, LLC
Per Form ADV
Financial planning
Portfolio management (individuals)
Publication of periodicals/newsletters
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
View all advisors at ALSWORTH CAPITAL MANAGEMENT, LLC →
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05

Frequently Asked Questions

What services does Shane Michael Alsworth offer?
Shane Michael Alsworth specializes in Financial Planning, Investment Management. Contact their office in CORNING, New York for a consultation.
What are Shane Michael Alsworth's credentials?
Shane Michael Alsworth holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.
Where is Shane Michael Alsworth located?
Shane Michael Alsworth is based in CORNING, New York, working with ALSWORTH CAPITAL MANAGEMENT, LLC. Their office serves clients in the CORNING metropolitan area and surrounding communities.
How does Shane Michael Alsworth charge for services?
Shane Michael Alsworth's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is ALSWORTH CAPITAL MANAGEMENT, LLC?
ALSWORTH CAPITAL MANAGEMENT, LLC has approximately 6 employees and manages $84M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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