Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Carlton is a financial advisor with over 40 years of experience. William Carlton is currently registered with Aegis Capital Corp., and previously worked at UBS FINANCIAL SERVICES INC., CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC., DEAN WITTER REYNOLDS INC., WHEAT, FIRST SECURITIES, INC., and SAN DIEGO SECURITIES INCORPORATED. William Carlton provides financial planning and portfolio management services to individuals, businesses, and pooled investment vehicles. William Carlton is also a registered investment advisor and holds the Series 3, 7, 31, and 65 licenses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
A percentage of the total value of assets under management is charged.
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2
VA
02/23/2024 - Present
Aegis Capital Corp. (Mclean VA)
VA
09/21/2007 - 01/12/2024
UBS FINANCIAL SERVICES INC. (McLean VA)
VA
07/31/1993 - 10/04/2007
CITIGROUP GLOBAL MARKETS INC. (MCLEAN VA)
NY
08/30/1991 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
11/13/1987 - 09/03/1991
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NA
07/02/1984 - 12/11/1987
WHEAT, FIRST SECURITIES, INC.
NA
07/20/1983 - 07/10/1984
SAN DIEGO SECURITIES INCORPORATED
IA
Issued 11/18/1991
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/20/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/07/1997
Series 31 - Futures Managed Funds Examination
BC
Issued 04/02/1991
Series 3 - National Commodity Futures Examination
BC
Issued 07/16/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
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