Shane Alsworth has been Chief Executive Officer of Alsworth Capital Management since September 2015, is a control person of the firm and directly owns between 50% and 75% of it.
Alsworth Capital Management, LLC is a Corning, NY firm with $117M under management, 177 clients and 2 advisers across 2 offices, as of its March 2026 filing.
Shane Alsworth’s longest registration was 6 years at Cadaret Grant & Co Inc (2016–2022). Before joining Alsworth Capital Management in 2021, Shane Alsworth was registered through Cadaret Grant & Co Inc and Nancy A Socha & Associates, LLC.
- – present · 5 yearsCorning, NY · Adviser representative · Firm CRD 281417
- Cadaret Grant & Co Inc– · 6 yearsCorning, NY · Adviser representative · Firm CRD 10641
- Nancy A Socha & Associates, LLC– · under a yearCorning, NY · Adviser representative · Firm CRD 108120
Investment adviser representative registrations
Shane Alsworth is registered as an investment adviser representative in New York, since August 2021.
- New YorkSince 16 August 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 18 August 2009 |
| Series 7 | General Securities Representative Examination | 18 August 2009 |
| Series 65 | Uniform Investment Adviser Law Examination | 31 March 2006 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Shane Michael Alsworth
- CRD
- 4418062
- Firm
- Alsworth Capital Management · CRD 281417
- Role
- Chief Executive Officer
- Office
- 4 WEST MARKET STREET, Corning, NY 14830
- Registration
- Investment adviser registration
- In the industry since
- May 2009
- Disciplinary history
- Not yet shown here · SEC record
Where does Shane Alsworth work?
Shane Alsworth has been Chief Executive Officer of Alsworth Capital Management, LLC since September 2015, and is a control person of the firm.
Is Shane Alsworth a financial advisor?
Yes. Shane Alsworth has a current investment-adviser registration in New York, through Alsworth Capital Management since August 2021.
How many years of experience does Shane Alsworth have?
Shane Alsworth has 17 years in the financial industry, since May 2009, across 3 adviser firms.
What exams has Shane Alsworth passed?
Shane Alsworth has passed 3 licensing exams: the Series 65, Series 66 and Series 7. The earliest, the Series 65, was passed in March 2006. FINRA credited Shane Alsworth with the SIE, which began in October 2018.
Where did Shane Alsworth work before Alsworth Capital Management?
Before Alsworth Capital Management, Shane Alsworth was registered through Nancy A Socha & Associates, LLC, June 2008 to September 2008.
Where is Shane Alsworth based?
Shane Alsworth’s registered office is in Corning, NY.
Is Shane Alsworth registered with FINRA?
No. Shane Alsworth has no current broker registration.
How can I verify Shane Alsworth’s record?
Search CRD 4418062 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Shane Alsworth’s full registration record.