0000702007-21-000002.txt : 20210908
0000702007-21-000002.hdr.sgml : 20210908
20210908085800
ACCESSION NUMBER: 0000702007-21-000002
CONFORMED SUBMISSION TYPE: MA-I
PUBLIC DOCUMENT COUNT: 1
TOWNE,JAMES,HERBERT,
FILED AS OF DATE: 20210907
DATE AS OF CHANGE: 20210908
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: CALDWELL SUTTER CAPITAL, INC.
CENTRAL INDEX KEY: 0000702007
IRS NUMBER: 942799654
STATE OF INCORPORATION: CA
FISCAL YEAR END: 0930
FILING VALUES:
FORM TYPE: MA-I
SEC ACT: 1934 Act
SEC FILE NUMBER: 868-05328
FILM NUMBER: 211240842
BUSINESS ADDRESS:
STREET 1: 30 LIBERTY SHIP WAY #3225
CITY: SAUSALITO
STATE: CA
ZIP: 94965-3324
BUSINESS PHONE: 415-367-4981
MAIL ADDRESS:
STREET 1: PO BOX 190
CITY: SAUSALITO
STATE: CA
ZIP: 94966-0190
FORMER COMPANY:
FORMER CONFORMED NAME: CALDWELL SECURITIES, INC
DATE OF NAME CHANGE: 20100708
FORMER COMPANY:
FORMER CONFORMED NAME: CALDWELL SECURITIES, INCORPORATED
DATE OF NAME CHANGE: 20041201
FORMER COMPANY:
FORMER CONFORMED NAME: CALDWELL SECURITIES INC /BD
DATE OF NAME CHANGE: 19820422
MA-I
1
primary_doc.xml
MA-I
0000702007
XXXXXXXX
Christopher Anderson
4153674982
christopher.anderson@cald.com
N
N
James
Herbert
Towne
1848305
Y
2
0001706978
Alpine Valley Advisors LLC
05-17-2017
N
867-02216
LOCATED
SUPERVISED
05-17-2017
0000702007
CALDWELL SUTTER CAPITAL, INC.
06-07-2021
Y
867-02278
SUPERVISED
06-07-2021
30 LIBERTY SHIP WAY #3225
SAUSALITO
CA
94965-3324
LOCATED
06-07-2021
06-2021
Caldwell Sutter Capital, Inc.
Sausalito
CA
94965
Y
Y
Managing Director
03-2017
06-2021
Alpine Valley Advisors, LLC
San Diego
CA
92131
Y
Y
Public Finance Professional
04-2015
03-2017
Stifel Nicolaus & Co Inc.
Minneapolis
MN
55402
N
Y
Public Finance
01-2014
04-2015
Sterne Agee & Leach, Inc.
Minneapolis
MN
55402
N
Y
Managing Director
03-2012
01-2014
Oppenheimer & Co. Inc.
Minneapolis
MN
55402
N
Y
Executive Director
01-2008
02-2012
DerivActiv, LLC
Eden Prairie
MN
55344
N
Y
National Sales Manager
Y
02-2021
Kestrel 360, Inc.
2700 Wells Drive
Hood River
OR
97031
N
Y
Performs second party verification for green, social and sustainable climate bonds.
Director
5
Attend and participate in meetings of the board of directors.
02-2021
KestrelESG, Inc.
2700 Wells Drive
Hood River
OR
97031
N
Y
Provides ESG data services database for debt investors
Director
5
Attend and participate in meetings of the board of directors.
03-2017
Southeast Renewable Fuels
4901 NW 17th Way
Suite 405
Fort Lauderdale
FL
33309
N
N
A startup company that is planning to construct a waste bagasse to fiber plant
CFO and Director
5
Attend board of directors meetings
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
09-07-2021
Christopher W. Anderson
Chief Compliance Officer