Thomas Michael Swoffer
Professional Summary
Thomas Michael Swoffer, who also goes by Thomas M. Swoffer, Tom Swoffer, is a registered financial advisor currently at TALBOT FINANCIAL, LLC located in Bellevue, Washington. Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Thomas has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thomas M. Swoffer, Tom Swoffer
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Videos & Posts
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Contact Information
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Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
36 years in the financial services industry
Current & Past Employments
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Current Firm
TALBOT CAPITAL HOLDINGS, LLC | TALBOT FINANCIAL, LLC
Contact Information
Main Address
10500 Ne 8th Street, #1700, Bellevue, WA 98004Phone Number
(425) 533-0797# of Employees
3SEC notice filing (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
530AUM (Assets Under Management)
$1,340,535,838Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/09/2025 | Cover Page | Report |
| 01/31/2025 | Cover Page | Report |
| 11/06/2023 | Cover Page | Report |
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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.
The advisor shows no other business activity.
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Primary Firm SEC Registration
TALBOT CAPITAL HOLDINGS, LLC | TALBOT FINANCIAL, LLC
State Registrations and Notice Filings
(5/21/2018)
(5/22/2018)
(5/21/2018)
(5/21/2018)
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.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 1990About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Thomas Michael Swoffer's CRS (Customer Relationship Summary).
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