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William Carlton Terminated by Cetera Advisors

William Carlton (CRD #: 1215541) has been fired by Cetera Advisors. This disclosure appears on his BrokerCheck record, accessed on February 9, 2024. Keep reading if you have questions regarding his alleged conduct. Investors should also keep in mind that they may have engaged his services through Carlton Wealth Management. 

Termination by Cetera

On December 21, 2023, Cetera Advisors fired William Carlton following allegations of inappropriate trading practices. 

SEC Investigation

On September 27, 2022, the Securities and Exchange Commission (SEC) initiated an investigation into William Carlton’s trading practices. 

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Inappropriate trading practices violate this rule. 

Background Information 

William Carlton has passed the following exams:

  • Series 65 Uniform Investment Adviser Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 3 National Commodity Futures Examination 
  • Series 7 General Securities Representative Examination 
  • Series 24 General Securities Principal Examination 

Kurta Law Can Help 

If you have worked with William Carlton and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.

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