Advisor at Aegis Capital Corp.
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Firm
Aegis Capital Corp.
Location
Mclean, VA
Credentials
Series 63, Series 65
Industry experience
42 years
William Carlton is a financial advisor with Aegis Capital Corp. He holds Series 63 and Series 65 credentials and has 42 years of industry experience. Prior to joining Aegis in 2023, he worked at UBS Financial Services Inc. for 16 years. Aegis Capital Corp. serves individual investors, retirement and benefit plans, trusts, estates, and corporate clients, offering investment advisory and brokerage services, financial planning, and access to managed account programs through RBC and AXOS platforms. The firm provides both discretionary and non-discretionary account options and supports trade execution, clearing, custody, and reporting services.
Based on Aegis Capital Corp.
$0 - $250,000: Up to 3.00% (if most transaction costs charged to Adviser) or up to 2.50% (if most transaction costs charged to client) $250,001 - $1,000,000: Up to 2.75% (if most transaction costs charged to Adviser) or up to 2.25% (if most transaction costs charged to client) $1,000,001+: Up to 2.50% (if most transaction costs charged to Adviser) or up to 2.00% (if most transaction costs charged to client)
Hourly fees may be charged for financial planning engagements; initial meeting is free. Specific hourly rates not stated.
Mclean, VA
Florida · Texas · Virginia
Aegis Capital Corp
2023 - Present (3 years)
UBS Financial services INC
2007 - 2023 (16 years)
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Is active or affiliated with:
Insurance agent
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Lawyer
They provide legal services, typically billed separately.
Is not active or affiliated with:
Bank
They're affiliated with a bank that may offer its own financial products and services.
Trust company
They provide trust and estate administration services, typically for separate fees.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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