Shane M. Alsworth

ALSWORTH CAPITAL MANAGEMENT

Corning, NY 14830

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CRD#: 4418062

Professional summary

Shane Michael Alsworth, CFP®, CIMA®, CLU® is a registered financial advisor currently at ALSWORTH CAPITAL MANAGEMENT, LLC located in Corning, New York.

Shane is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Shane has worked at 4 firms and has passed the Series 66, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Shane Michael Alsworth'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®

CFP^®

Certified Financial Planner

Start date: 2007

CIMA^®

Certified Investment Management Analyst

CLU^®

Chartered Life Underwriter

Experience

Current

August 16, 2021 - Present

ALSWORTH CAPITAL MANAGEMENT, LLC

Office #1: 4 West Market Street, Corning, NY 14830

RIA

CRD#: 281417

Corning, NY

Past

May 3, 2016 - June 2, 2022

CADARET, GRANT & CO., INC.

RIA

CRD#: 10641

Corning, NY

Past

November 17, 2015 - June 2, 2022

CADARET, GRANT & CO., INC.

CRD#: 10641

Corning, NY

Past

August 19, 2009 - December 15, 2015

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

OLEAN, NY

Past

June 17, 2008 - September 23, 2008

SOCHA FINANCIAL GROUP

RIA

CRD#: 108120

CORNING, NY

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".

ALSWORTH CAPITAL MANAGEMENT, LLC

CRD#: 281417 / SEC#: 801-113550

RIA

Registered Investment Advisory firm - (7/6/2018 Approved)

New York

Registered Investment Advisory firm - (7/23/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

New York
(8/16/2021)

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: 8/18/2009

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/31/2006

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/18/2009

General Securities Representative Examination

Current Firm

ALSWORTH CAPITAL MANAGEMENT, LLC

CRD#: 281417 / SEC#: 801-113550

RIA

Registered Investment Advisory firm - (7/6/2018 Approved)

New York

Registered Investment Advisory firm - (7/23/2018 Terminated)

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Contact information

Main Address

4 West Market Street, Corning, NY 14830

Mailing Address

P.o. Box 283, Corning, NY 14830

Phone number

(607) 973-2665

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ACM DISCLOSURE BROCHURE, BROCHURE SUPPLEMENT AND WRAP FEE BROCHURE (9/11/2025)

Regulatory assets under management

Total Number of Accounts	415
AUM (Assets Under Management)	$ 97,205,007

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.

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Advisor Monitoring

Firm Stability Insights

Shane M. Alsworth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shane Michael Alsworth's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALSWORTH CAPITAL MANAGEMENT, LLC

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

AVANTAX INVESTMENT SERVICES, INC.

SOCHA FINANCIAL GROUP

Primary Firm SEC Registration

ALSWORTH CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/18/2009

Series 65

Date: 3/31/2006

SIE

Date: 10/1/2018

Series 7

Date: 8/18/2009

Current Firm

ALSWORTH CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALSWORTH CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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