William Lawton has been an investment adviser representative at Capital Markets IQ since September 2016, and is not listed among the firm’s executive officers or direct owners.
Capital Markets Iq, LLC is a firm with $571M under management, 884 clients and 20 advisers across 19 offices, as of its July 2026 filing.
William Lawton’s longest registration is the current one, 10 years at Capital Markets IQ since 2016. Before joining Capital Markets IQ in 2016, William Lawton was registered through Concert Wealth Management and Seagate Global Advisors LLC.
- Capital Markets Iq, LLCCurrent– present · 10 yearsDavis, CA · Adviser representative · Firm CRD 134921
- Concert Wealth Management– · 2 yearsNewport Beach, CA · Adviser representative · Firm CRD 141253
- Seagate Global Advisors LLC– · 4 yearsRedondo Beach, CA · Adviser representative · Firm CRD 108555
Investment adviser representative registrations
William Lawton is registered as an investment adviser representative in California, since September 2016.
- CaliforniaSince 30 September 2016
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 10 February 1998 |
| Series 63 | Uniform Securities Agent State Law Examination | 26 March 1997 |
| Series 7 | General Securities Representative Examination | 24 March 1997 |
| Series 3 | National Commodity Futures Examination | 26 June 1992 |
| Series 1 | Registered Representative Examination | 1 May 1979 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- National Commodity Futures Examination
- Name
- Registered Representative Examination
- Full name
- William John Penson Lawton
- CRD
- 865963
- Firm
- Capital Markets IQ · CRD 134921
- Office
- 1520 E Covell Blvd, Suite B5, #325, Davis, CA 95616
- Registration
- Investment adviser registration
- In the industry since
- March 2009
- Disciplinary history
- Not yet shown here · SEC record
Where does William Lawton work?
William Lawton is an investment adviser representative registered through Capital Markets Iq, LLC since September 2016, and is not listed among the firm’s executive officers or direct owners.
Is William Lawton a financial advisor?
Yes. William Lawton has a current investment-adviser registration in California, through Capital Markets IQ since September 2016.
How many years of experience does William Lawton have?
William Lawton has 17 years in the financial industry, since March 2009, across 3 adviser firms.
What exams has William Lawton passed?
William Lawton has passed 5 licensing exams: the Series 1, Series 3, Series 7, Series 63 and Series 24. The earliest, the Series 1, was passed in May 1979. FINRA credited William Lawton with the SIE, which began in October 2018.
Where did William Lawton work before Capital Markets IQ?
Before Capital Markets IQ, William Lawton was registered through Concert Wealth Management, December 2013 to September 2016; Seagate Global Advisors LLC, March 2000 to December 2004.
Where is William Lawton based?
William Lawton’s registered office is in Davis, CA.
Is William Lawton registered with FINRA?
No. William Lawton has no current broker registration.
How can I verify William Lawton’s record?
Search CRD 865963 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes William Lawton’s full registration record.