Shane Michael Alsworth
CFP®, CIMA®, CLU®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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
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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Credentials
Years of Experience
20 years in the financial services industry
Current & Past Employments
Current
Past
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Current Firm
ALSWORTH CAPITAL MANAGEMENT, LLC
Contact Information
Main Address
4 West Market Street, Corning, NY 14830Mailing Address
P.o. Box 283, Corning, NY 14830Phone Number
(607) 973-2665# of Employees
8SEC notice filing (3 States and Territories)
Registered to provide investment advisory services in 3 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
438AUM (Assets Under Management)
$116,684,055Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
ALSWORTH CAPITAL MANAGEMENT, LLC
State Registrations and Notice Filings
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Shane Michael Alsworth's CRS (Customer Relationship Summary).
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