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