Shane Michael Alsworth

Employer firm

Alsworth Capital Management, LLC CRD 281417

$117M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Pension consulting

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2015 → 05/2022
  Cadaret, Grant & Co., Inc,
  Corning, NY
• 11/2015 → Present
  Alsworth Capital Management, Llc
  Corning, NY

Previous Registrations

• 2016-05-03 → 2022-06-02
  Cadaret, Grant & Co., Inc.
  Syracuse, NY
  Corning, NY
  Elmira, NY
  Syracuse, NY
  Syracuse, NY
  Syracuse, NY
• 2008-06-17 → 2008-09-23
  Socha Financial Group
  Corning, NY

Other Businesses

1. Insurance Sales; same address; Non-investment related; Approximately 10% of time during the month 2. St. Mary Our Mother Parish & School, Horseheads, NY, Chairman of Finance Council since 7/11/17, Finance council reviews financial statements and advises the priest.

Exams

• S66 Uniform Combined State Law Examination
  2009-08-18
• S65 Uniform Investment Adviser Law Examination
  2006-03-31

Designations

• Certified Financial Planner