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Thomas Michael Swoffer

Talbot Financial, LLC

Bellevue, WA

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Current Employers
Talbot Financial, Llc

10500 Ne 8Th Street, #1700, Bellevue, WA 98004 • United States

Current Registrations

AuthorityCategoryStatusDate
NM RA APPROVED 2018-05-22
CA RA APPROVED 2018-05-21
TX RA APPROVED 2018-05-21
WA RA APPROVED 2018-05-21
  • NM RA
    APPROVED
    Since 2018-05-22
  • CA RA
    APPROVED
    Since 2018-05-21
  • TX RA
    APPROVED
    Since 2018-05-21
  • WA RA
    APPROVED
    Since 2018-05-21

Branch Locations

10500 Ne 8Th Street, #1700, Bellevue, WA 98004 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Rw Baird Seattle WA 09/2017 05/2018
Asset Planning And Management Spokane WA 01/2017 09/2017
Unemployed Seattle WA 02/2016 12/2016
Talbot Financial, Llc Bellevue WA 05/2018 Present
  • 09/2017 → 05/2018
    Rw Baird
    Seattle, WA
  • 01/2017 → 09/2017
    Asset Planning And Management
    Spokane, WA
  • 02/2016 → 12/2016
    Unemployed
    Seattle, WA
  • 05/2018 → Present
    Bellevue, WA
Previous Registrations
  • 2017-09-13 → 2018-05-30
    Seattle, WA
  • 2017-01-25 → 2017-09-12
    Asset Planning & Management, Inc.
    Spokane, WA
  • 2003-05-02 → 2016-07-29
    Whv Investments, Inc.
    Seattle, WA
    Seattle, WA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-10-07
S63 Uniform Securities Agent State Law Examination 1990-09-13
  • S66 Uniform Combined State Law Examination
    2017-10-07
  • S63 Uniform Securities Agent State Law Examination
    1990-09-13
Designations
Other Names
  • Tom Swoffer
  • Thomas M. Swoffer

View on SEC IAPD

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