0001610503-17-000001.txt : 20170124 0001610503-17-000001.hdr.sgml : 20170124 20170124174002 ACCESSION NUMBER: 0001610503-17-000001 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20170124 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Caldwell Flores Winters, Inc. CENTRAL INDEX KEY: 0001610503 IRS NUMBER: 330276406 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA-I SEC ACT: 1934 Act SEC FILE NUMBER: 868-02698 FILM NUMBER: 17544616 BUSINESS ADDRESS: STREET 1: 6425 CHRISTIE AVENUE, SUITE 270 CITY: EMERYVILLE STATE: CA ZIP: 94608 BUSINESS PHONE: 5105968170 MAIL ADDRESS: STREET 1: 6425 CHRISTIE AVENUE, SUITE 270 CITY: EMERYVILLE STATE: CA ZIP: 94608 MA-I 1 primary_doc.xml MA-I 0001610503 XXXXXXXX Rosemarie Kaufman 415-516-9429 compliance@cfwinc.com emilio@cfwinc.com N N David Vincent Kelly N 1 0001610503 Caldwell Flores Winters, Inc. 01-03-2017 N 867-00493 LOCATED SUPERVISED 01-03-2017 6425 CHRISTIE AVENUE, SUITE 270 EMERYVILLE CA 94608 01-2017 Caldwell Flores Winters, Inc Emeryville CA 94608 Y N Financial Analyst 04-2016 12-2016 INDEPENDENT CONTRACTOR (LYFT AND UBER) OAKLAND CA 94612 N N Driver 10-2009 03-2016 CITY AND COUNTY OF SAN FRANCISCO SAN FRANCISCO CA 94102 N N Administrative Assistant 12-2006 09-2009 NEW STUDENT SERVICES, UNIVERSIT OF CALIFORNIA, BERKELEY BERKELEY CA 94703 N N Coordinator, Counselor, Clerk Y 03-2016 Independent contractor (Lyft and Uber) 1425 Lakeside Dr Apt 103 Oakland CA 94612 N N Ride sharing Driver 10 Provide on-demand, curb-to-curb transportation N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N 01-24-2017 Rosemarie Kaufman Chief Compliance Officer