William A. Caton

FIRST WILSHIRE SECURITIES MANAGEMENT

Pasadena, CA 91106-3171

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CRD#: 4539052

Professional summary

William Adam Caton, CFP® is a registered financial advisor currently at FIRST WILSHIRE SECURITIES MANAGEMENT, INC. located in Pasadena, California.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. William has worked at 2 firms and has passed the Series 66, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Moose Mountain ,LLC, a non-investment related Family Owned Business involved in owning land and equipment that it rents to a 3rd party for the production of maple syrup, (now Moose Mtn LLC is only a landlord and no longer operates production of maple syrup but rather it rents the "sugarbush" to a 3rd party sugarmaker.) I serve as a C0-Manager of the Lessor relationship and devote less than 5 hours per month during non-trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Adam Caton's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 2022

Experience

Current

September 12, 2014 - Present

FIRST WILSHIRE SECURITIES MANAGEMENT, INC.

Office #1: 1214 East Green Street Suite 104, Pasadena, CA 91106-3171

RIA

CRD#: 171971

Pasadena, CA

Past

March 25, 2003 - October 28, 2014

FIRST WILSHIRE SECURITIES, INC.

RIA

CRD#: 6609

PASADENA, CA

Past

June 25, 2002 - January 30, 2018

FIRST WILSHIRE SECURITIES, INC.

CRD#: 6609

PASADENA, CA

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".

FIRST WILSHIRE SECURITIES MANAGEMENT, INC.

CRD#: 171971 / SEC#: 801-15260

RIA

Registered Investment Advisory firm - (5/27/1980 Approved)

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.

Highlighted states indicate IAR registrations

IAR

California
(9/12/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/18/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 1/30/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 3/7/2005

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 6/24/2002

General Securities Representative Examination

Current Firm

FIRST WILSHIRE SECURITIES MANAGEMENT, INC.

CRD#: 171971 / SEC#: 801-15260

RIA

Registered Investment Advisory firm - (5/27/1980 Approved)

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Contact information

Main Address

1214 East Green Street Suite 104, Pasadena, CA 91106-3168

Mailing Address

Phone number

(626) 796-6622

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (27 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FWSM ADV PART 2 UPDATE - MARCH 28, 2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	281
AUM (Assets Under Management)	$ 374,929,393

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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William A. Caton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Adam Caton's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST WILSHIRE SECURITIES, INC.

FIRST WILSHIRE SECURITIES, INC.

Primary Firm SEC Registration

FIRST WILSHIRE SECURITIES MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/18/2005

SIE

Date: 1/30/2018

Series 55

Date: 3/7/2005

Series 7

Date: 6/24/2002

Current Firm

FIRST WILSHIRE SECURITIES MANAGEMENT, INC.

Contact information

SEC notice filing (27 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIRST WILSHIRE SECURITIES MANAGEMENT, INC.

TRUST BUT VERIFY

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