Unclaimed Profile

Scott Jeffrey Swain

FALMOUTH INVESTMENT COMPANY, INC.·SHAKER HEIGHTS, Ohio

Series 7Clean record18 years registeredFALMOUTH INVESTMENT COMPANY, INC.

20820 CHARGIN BOULEVARD, SHAKER HEIGHTS, OH 44122CRD# 4009245Firm CRD# 122268

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Scott Jeffrey Swain · SHAKER HEIGHTS, OH

Registration

CRD #4009245 · FALMOUTH INVESTMENT COMPANY, INC. · 18 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: FALMOUTH INVESTMENT COMPANY, INC.

PARAGON ADVISORS, INC.

May 2008 – Dec 2017

SHAKER HEIGHTS, OH

Registrations & Exams

FINRA examinations passed

Series 7

Registration record

First registered · May 1, 2008

Years registered · 18

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

NEW FALMOUTH, LLC

CRD 122268 · SEC 801-61436

AUM

$519M

Regulatory assets under management

Employees

37 client accounts

Services offered by NEW FALMOUTH, LLC

Per Form ADV

Pension consulting

Security ratings or pricing services

Other

Client types served by the firm

Per Form ADV

Pension & Retirement Plans

View all advisors at NEW FALMOUTH, LLC →

Introduction

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Frequently Asked Questions

What services does Scott Jeffrey Swain offer?

Scott Jeffrey Swain specializes in Retirement Planning.

What are Scott Jeffrey Swain's credentials?

Scott Jeffrey Swain is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Scott Jeffrey Swain located?

Scott Jeffrey Swain is based in SHAKER HEIGHTS, Ohio, last registered with FALMOUTH INVESTMENT COMPANY, INC..

How does Scott Jeffrey Swain charge for services?

Scott Jeffrey Swain's firm is compensated through percentage of aum, performance-based fees, other: fixed organization fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is FALMOUTH INVESTMENT COMPANY, INC.?

FALMOUTH INVESTMENT COMPANY, INC. is a registered investment adviser with the SEC, managing $519M in regulatory assets under management. See their Form ADV for full details.

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