Unclaimed Profile

William Adam Caton

FIRST WILSHIRE SECURITIES MANAGEMENT, INC.·PASADENA, California

SIE, Series 7, Series 55, Series 66CFP CFAClean record23 years registeredFIRST WILSHIRE SECURITIES MANAGEMENT, INC.

1214 EAST GREEN STREET, PASADENA, CA 91106-3171CRD# 4539052Firm CRD# 171971

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

William Adam Caton · PASADENA, CA

Registration

CRD #4539052 · FIRST WILSHIRE SECURITIES MANAGEMENT, INC. · 23 years registered

Brand Profile

Not yet started

Career History

FIRST WILSHIRE SECURITIES MANAGEMENT, INC.

Sep 2014 – present

FIRST WILSHIRE SECURITIES MANAGEMENT, INC.

Mar 2003 – Oct 2014

PASADENA, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 55

Series 66

Registration record

First registered · March 25, 2003

Years registered · 23

Professional designations · CFP, CFA

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

FIRST WILSHIRE SECURITIES MANAGEMENT, INC.

CRD 171971 · SEC 801-15260

AUM

$329M

Regulatory assets under management

Employees

279 client accounts

Services offered by FIRST WILSHIRE SECURITIES MANAGEMENT, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Pension consulting

Selection of other advisers

Client types served by the firm

Per Form ADV

Individuals

Pension & Retirement Plans

High Net Worth Individuals

View all advisors at FIRST WILSHIRE SECURITIES MANAGEMENT, INC. →

Introduction

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Frequently Asked Questions

What services does William Adam Caton offer?

William Adam Caton specializes in Financial Planning, Investment Management, Retirement Planning, Wealth Management. Contact their office in PASADENA, California for a consultation.

What are William Adam Caton's credentials?

William Adam Caton holds the following professional designations: CFP, CFA. These credentials require rigorous education, examination, and ongoing continuing education.

Where is William Adam Caton located?

William Adam Caton is based in PASADENA, California, working with FIRST WILSHIRE SECURITIES MANAGEMENT, INC.. Their office serves clients in the PASADENA metropolitan area and surrounding communities.

How does William Adam Caton charge for services?

William Adam Caton's firm is compensated through percentage of aum, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is FIRST WILSHIRE SECURITIES MANAGEMENT, INC.?

FIRST WILSHIRE SECURITIES MANAGEMENT, INC. has approximately 9 employees and manages $329M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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