William Caton has been Portfolio Manager of First Wilshire Securities Management since July 2019, is a control person of the firm and directly owns between 10% and 25% of it.
First Wilshire Securities Management, Inc. is a Pasadena, CA firm with $415M under management, 286 clients and 6 advisers in one office, as of its May 2026 filing.
William Caton’s longest registration is the current one, 12 years at First Wilshire Securities Management since 2014. Before joining First Wilshire Securities Management in 2014, William Caton was registered through First Wilshire Securities Management, Inc.
- – present · 12 yearsPasadena, CA · Adviser representative · Firm CRD 171971
- First Wilshire Securities Management, Inc.– · 11 yearsPasadena, CA · Adviser representative · Firm CRD 6609
Investment adviser representative registrations
William Caton is registered as an investment adviser representative in 26 states. The first approvals date from September 2014; the most recent is Florida, in August 2026.
- ArizonaSince 20 April 2026
- CaliforniaSince 12 September 2014
- ColoradoSince 16 January 2026
- ConnecticutSince 16 January 2026
- DelawareSince 16 January 2026
- District of ColumbiaSince 17 April 2026
- FloridaSince 3 August 2026
- GeorgiaSince 16 March 2026
- IllinoisSince 16 January 2026
- KentuckySince 16 January 2026
- MarylandSince 16 January 2026
- MassachusettsSince 23 April 2026
- MichiganSince 16 January 2026
- MinnesotaSince 16 January 2026
- NevadaSince 16 January 2026
- New HampshireSince 16 January 2026
- New JerseySince 3 February 2026
- New YorkSince 16 January 2026
- North CarolinaSince 16 January 2026
- OhioSince 16 January 2026
- OregonSince 16 January 2026
- PennsylvaniaSince 16 January 2026
- South CarolinaSince 16 January 2026
- TexasSince 16 January 2026
- VirginiaSince 16 January 2026
- WashingtonSince 16 January 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 18 August 2005 |
| Series 55 | Limited Representative-Equity Trader Exam | 7 March 2005 |
| Series 7 | General Securities Representative Examination | 24 June 2002 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- Limited Representative-Equity Trader Exam
- Name
- General Securities Representative Examination
- Full name
- William Adam Caton
- CRD
- 4539052
- Firm
- First Wilshire Securities Management · CRD 171971
- Role
- Portfolio Manager
- Office
- 200 SOUTH LOS ROBLES AVE., SUITE 620, Pasadena, CA 91101
- Registration
- Investment adviser registration
- In the industry since
- June 2002
- Disciplinary history
- Not yet shown here · SEC record
Where does William Caton work?
William Caton has been Portfolio Manager of First Wilshire Securities Management, Inc. since July 2019, and is a control person of the firm.
Is William Caton a financial advisor?
Yes. William Caton has a current investment-adviser registration in Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Illinois, Kentucky, Maryland, Massachusetts, Michigan, Minnesota, Nevada, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Texas, Virginia and Washington, through First Wilshire Securities Management since September 2014.
How many years of experience does William Caton have?
William Caton has 24 years in the financial industry, since June 2002, across 2 adviser firms.
What exams has William Caton passed?
William Caton has passed 3 licensing exams: the Series 7, Series 55 and Series 66. The earliest, the Series 7, was passed in June 2002. FINRA credited William Caton with the SIE, which began in October 2018.
Where is William Caton based?
William Caton’s registered office is in Pasadena, CA.
Is William Caton registered with FINRA?
No. William Caton has no current broker registration.
How can I verify William Caton’s record?
Search CRD 4539052 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes William Caton’s full registration record.
Howard LuPresident & CEO- Nicole GreenChief Operating Officer
- Nicole GreenChief Compliance Officer
Thomas HansonS.V.P.
Scott HoodChairman & CFO