MA-A 0000702007 XXXXXXXX Christopher W. Anderson 4153674982 christopher.anderson@cald.com joe@cald.com kathleen@cald.com 09-30-2021 Y CALDWELL SUTTER CAPITAL, INC. 10489 94-2799654 867-02278 008-27639 10489 801-66098 10489 30 LIBERTY SHIP WAY #3225 SAUSALITO CA 94965-3324 415-367-4981 Y PO BOX 190 SAUSALITO CA 94966-0190 www.cald.com Christopher William Anderson

30 Liberty Ship Way Ste 3225 Sausalito CA 94965-3324

415-367-4982 415-332-1838 christopher.anderson@cald.com September CA 02-16-1982 N 17 2 2 0 0 6 Municipal Entities 0 0 0 Not Applicable Fixed Fees Contingent Fees Not Applicable Advice Insurance Of MS Advice Investment Of Proceeds MS Advice ME Investments Advice ME Other Investments Advice Guaranteed IC Advice Use Of MD Advice On Selection Y Y Y Y Y N Investment Adviser 3 Add Investment Adviser Joseph F. Helmer Investment adviser representative Y Y N Add Investment Adviser Richard A. Saso Investment Adviser Representative N N N Add Investment Adviser Susan Metcalf Managing Director Y Y N N N N N N N N N N N N N N N N N N N N N N N N Y N Y N N N N N N N N N N N Y N Joseph Francis Helmer President 08-01-2008 A Y 1860949 Mari Ming Hwa Allen Managing Director 07-01-2017 NA N 1705748 Susan Diane Metcalf Managing Director 07-01-2017 NA N 1547365 Christopher William Anderson Chief Compliance Officer 08-01-2006 NA N 5085595 John Caldwell Helmer Founder 07-01-2017 C Y 242398 Mary Dolores Helmer Founder 07-01-2017 C Y 1176617 Joseph Michael DuCote Senior Managing Director 08-10-2017 NA N 72548 Joseph Francis Helmer President 08-01-2008 A Y 1860949 Mari Ming Hwa Allen Managing Director 07-01-2017 NA N 1705748 Susan Diane Metcalf Managing Director 07-01-2017 NA N 1547365 Christopher William Anderson Chief Compliance Officer 08-01-2006 NA N 5085595 John Caldwell Helmer Founder 07-01-2017 C Y 242398 Mary Dolores Helmer Founder 07-01-2017 C Y 1176617 Joseph Michael DuCote Senior Managing Director 08-10-2017 NA N 72548 9-D2 9-D4 Caldwell Sutter Capital, Inc. 10489 1530731 /Christopher W. Anderson/ Christopher W. Anderson Chief Compliance Officer 12-22-2021 10489 N N N N N N N N Y N N N N N N N N N N N N