Thomas Michael Swoffer
Investment Adviser Representative at TALBOT FINANCIAL, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Thomas Michael Swoffer has worked in the securities industry since 2000. They have passed the Series 66, 63, 7, and 6 examinations. They are registered to provide investment advisory services in California, New Mexico, Texas, and Washington.
Registrations & licenses
Approximate fees
Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
| Asset tier | Annual rate |
|---|---|
| Equities & Fixed Income up to $10M | 0.85% |
| Equities & Fixed Income over $10M | 0.50% |
| Cash | 0.00% |
Talbot Financial, LLC Form ADV Part 2A (Item 5), most recent annual amendment.
Employment history
Registration history as reported to FINRA, most recent first.
Official records & sources
Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck
Other advisors at TALBOT FINANCIAL, LLC
1 other advisor in the directory
View TALBOT FINANCIAL, LLC firm profileThis profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Thomas Michael Swoffer has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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