William Caton, financial advisor Pasadena CA
96 score

William Caton

CRD Number: 4539052
Current Firm: First Wilshire Securities Management, Inc.

William Caton (CRD# 4539052) is an Investment Advisor Representative working at First Wilshire Securities Management, Inc. in Pasadena, CA and has over 11 years of experience in the finance industry.

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Professional Designations
Company Name Location Dates Years
First Wilshire Securities Mgmt Pasadena, CA Mar 1998 - Current 18
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Aug 2005
Contact Info for William A. Caton
Phone Number: 626-796-6622
Firm Website: http://firstwilshire.com
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    351
    MILLIONS
  • Total Number of Accounts
    410
    ACCOUNTS
  • Average Account Value
    $855,198
Compensation Options
  • A percentage of assets under your management
  • Performance-based fees
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
Types of Clients
Registered States

AZ, CA, CO, CT, DC, FL, GA, HI, IL, KY, LA, MA, MD, ME, MI, MN, MO, NC, NH, NJ, NV, NY, OH, OR, PA, SC, TN, TX, VA, WA

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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