Thomas M. Swoffer

TALBOT FINANCIAL

Bellevue, WA 98004

Some features on this profile are disabled

CRD#: 2088267

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas M. Swoffer | Tom Swoffer

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Michael Swoffer's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 21, 2018 - Present

TALBOT FINANCIAL, LLC

Office #1: 10500 Ne 8th Street, #1700, Bellevue, WA 98004

RIA

CRD#: 155162

Bellevue, WA

Past

September 26, 2017 - May 30, 2018

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

Seattle, WA

Past

September 13, 2017 - May 30, 2018

ROBERT W. BAIRD & CO. INCORPORATED

RIA

CRD#: 8158

Seattle, WA

Past

January 25, 2017 - September 12, 2017

ASSET PLANNING & MANAGEMENT, INC.

RIA

CRD#: 116833

SPOKANE, WA

Past

May 2, 2003 - July 29, 2016

WHV INVESTMENTS, INC.

RIA

CRD#: 107214

SEATTLE, WA

Past

September 17, 1990 - June 13, 1994

SYMETRA SECURITIES, INC.

CRD#: 739

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TALBOT FINANCIAL, LLC

TALBOT CAPITAL HOLDINGS, LLC | TALBOT FINANCIAL, LLC

CRD#: 155162 / SEC#: 801-71859

RIA

Registered Investment Advisory firm - (10/21/2010 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(5/21/2018)

IAR

New Mexico
(5/22/2018)

IAR

Texas
(5/21/2018)

IAR

Washington
(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

State Security Law Exam

IAR

Series 66

Date: 10/7/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/13/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/30/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/26/2017

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/13/1990

Investment Company Products/Variable Contracts Representative Examination

Current Firm

TALBOT FINANCIAL, LLC

TALBOT CAPITAL HOLDINGS, LLC | TALBOT FINANCIAL, LLC

CRD#: 155162 / SEC#: 801-71859

RIA

Registered Investment Advisory firm - (10/21/2010 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

10500 Ne 8th Street, #1700, Bellevue, WA 98004

Mailing Address

Phone number

(425) 533-0797

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TALBOT FINANCIAL, LLC ADV PART 2 02.05.2025 (2/18/2025)

Regulatory assets under management

Total Number of Accounts	517
AUM (Assets Under Management)	$ 937,470,662

Accountant 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
01/13/2023	Cover Page	Report

Red Flags

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.

Similar Advisors

Dale Miller

MORGAN STANLEY

IAR

Moscow, ID

Gregg Quinn

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Redmond, WA

Alyssa Jarman

OSAIC WEALTH, INC.

IAR

Bellevue, WA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas M. Swoffer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Michael Swoffer's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROBERT W. BAIRD & CO. INCORPORATED

ROBERT W. BAIRD & CO. INCORPORATED

ASSET PLANNING & MANAGEMENT, INC.

WHV INVESTMENTS, INC.

SYMETRA SECURITIES, INC.

Primary Firm SEC Registration

TALBOT FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/7/2017

Series 63

Date: 9/13/1990

SIE

Date: 5/30/2018

Series 7

Date: 9/26/2017

Series 6

Date: 9/13/1990

Current Firm

TALBOT FINANCIAL, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TALBOT FINANCIAL, LLC

TRUST BUT VERIFY

Similar Advisors