William C. Dow
BOLTON SECURITIES
FALMOUTH, ME 04105
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CRD#: 2157734
William Carlton DowBOLTON SECURITIES
Professional summary
William Carlton Dow, CFP®, who also goes by Bill W Carlton, Bill Dow, is a registered financial advisor currently at BOLTON SECURITIES CORPORATION located in Falmouth, Maine and BOLTON GLOBAL CAPITAL located in Falmouth, Maine.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. William has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 8 exams.
Aliases
Bill W Carlton | Bill Dow
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view William Carlton Dow's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Carlton Dow's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2009
Experience
Current
January 30, 2006 - Present
BOLTON SECURITIES CORPORATION
Office #1: 134 Us Route One, Falmouth, ME 04105RIA
BD
CRD#: 129376
FALMOUTH, ME
Current
November 1, 2005 - Present
BOLTON GLOBAL CAPITAL
Office #1: 134 Us Route One, Falmouth, ME 04105BD
CRD#: 15650
FALMOUTH, ME
Past
September 27, 2002 - November 9, 2005
ADVEST, INC.
RIA
CRD#: 10
PORTLAND, ME
Past
June 18, 1992 - November 9, 2005
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
Past
July 12, 1991 - October 4, 1991
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BS
BOLTON SECURITIES CORPORATION
BOLTON GLOBAL ASSET MANAGEMENT | NEWERA WEALTH ADVISORS | DELTA GLOBAL ASSET MANAGEMENT | BOLTON SECURITIES CORPORATION | BOLTON SECURITIES CORP
CRD#: 129376 / SEC#: 801-66962, 8-68187
RIA
Registered Investment Advisory firm - SEC (8/9/2006 Approved)Georgia
Registered Investment Advisory firm - SEC (8/14/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (8/17/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(11/1/2005)
RR
Connecticut(11/1/2005)
RR
District of Columbia(10/31/2007)
RR
Florida(11/1/2005)
RR
Georgia(10/31/2007)
RR
Louisiana(1/27/2006)
RR
Maine(11/1/2005)
IAR
Maine(9/25/2006)
RR
Maryland(11/1/2005)
RR
Massachusetts(11/1/2005)
IAR
Massachusetts(1/30/2006)
RR
Michigan(7/20/2018)
RR
Nevada(8/16/2021)
RR
New Hampshire(11/1/2005)
RR
New Jersey(11/1/2005)
RR
New York(1/27/2006)
RR
North Carolina(1/27/2006)
RR
Ohio(1/13/2015)
RR
Oregon(9/28/2020)
RR
Pennsylvania(1/27/2006)
RR
South Carolina(11/1/2005)
RR
Texas(1/27/2006)
RR
Vermont(11/1/2005)
RR
Virginia(11/1/2005)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 8
Date: 2/20/1997
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
BS
BOLTON SECURITIES CORPORATION
BOLTON GLOBAL ASSET MANAGEMENT | NEWERA WEALTH ADVISORS | DELTA GLOBAL ASSET MANAGEMENT | BOLTON SECURITIES CORPORATION | BOLTON SECURITIES CORP
CRD#: 129376 / SEC#: 801-66962, 8-68187
RIA
Registered Investment Advisory firm - SEC (8/9/2006 Approved)Georgia
Registered Investment Advisory firm - SEC (8/14/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (8/17/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
579 Main Street, Bolton, MA 01740
Mailing Address
579 Main Street, Bolton, MA 01740
Phone number
(978) 779-6947
Established
Delaware since 07/30/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
154
SEC notice filing (38 States and Territories)
FINRA licenses (49 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOLTON FINANCIAL GROUP, INC. | SHAREHOLDER | |
| PRESKENIS, STEVEN CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 4410822 |
| BEALS, MATTHEW GEORGE | PRESIDENT | 5157251 |
| CATALDO, JOHN GENNARO | CHIEF LEGAL OFFICER AND CHIEF ADMIN OFF. | 5707721 |
| MAHLE, DAPHNE JANE | CHIEF COMPLIANCE OFFICER | 4367277 |
| TARPEY, STEVEN R | CFO AND FINOP | 6640625 |
Regulatory assets under management
| Total Number of Accounts | 6,977 |
| AUM (Assets Under Management) | $ 7,004,872,405 |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
Red Flags
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Company Information
BOLTON SECURITIES CORPORATION
CRD#: 129376Falmouth, ME 04105TRUST BUT VERIFY
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