William D. Carlton is a seasoned financial advisor with a career spanning over four decades in the securities and investment industry. He has held prominent roles in several renowned financial firms, contributing to institutional equity trading, corporate syndication, and financial consultancy. Carlton is recognized for his commitment to providing advisory services to individual and institutional clients.
Early Career and Education
Carlton earned a Bachelor’s degree in Industrial Engineering from Stanford University in 1983, where he also served as a basketball play-by-play announcer. He participated in the Semester at Sea program through the University of Pittsburgh.
Professional Career
Carlton began his career in Institutional Equity Trading at Foster & Marshall Inc. (1983–1985) before moving to Shearson Lehman Hutton, where he worked in Corporate Syndication from 1985 to 1993.
He continued his trajectory at Smith Barney Shearson, Inc. (1993–1994) in Institutional Services and then served as First Vice President of Investments at Prudential Securities, Inc. (1994–1998).
From 1998 to 2008, Carlton worked as a Financial Consultant at First Montauk Securities, Inc., before joining First Allied Securities, Inc., where he served as a Financial Advisor for 15 years until 2023. During his tenure, he provided investment advisory services, developing long-term, individualized financial strategies for his clients.
In addition to his extensive experience in finance, Carlton completed the “Introduction to Artificial Intelligence (AI)” certification from IBM in 2024.
Personal Interests
Carlton’s interests extend beyond finance, reflecting his passion for sports and innovative technologies. His diverse academic and professional journey highlights his adaptability and dedication to lifelong learning.