0000702007-23-000002.txt : 20230425
0000702007-23-000002.hdr.sgml : 20230425
20230425131709
ACCESSION NUMBER: 0000702007-23-000002
CONFORMED SUBMISSION TYPE: MA-A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170930
FILED AS OF DATE: 20230420
DATE AS OF CHANGE: 20230425
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-A
SEC ACT: 1934 Act
SEC FILE NUMBER: 867-02278
FILM NUMBER: 23843605
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-A
1
primary_doc.xml
MA-A
0000702007
XXXXXXXX
Christopher W. Anderson
4153674982
christopher.anderson@cald.com
joe@cald.com
kathleen@cald.com
09-30-2017
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
25
1
1
0
0
1
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
2
Add
Investment Adviser
Joseph F. Helmer
Investment adviser representative
Y
Y
N
Add
Investment Adviser
Richard A. Saso
Investment Adviser Representative
N
N
N
Delete
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
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N
Y
N
Y
N
N
N
N
N
N
N
N
N
N
N
Y
N
JOHN AND JINX HELMER REVOCABLE TRUST DATED JANUARY 4, 2005
N
53-4364503
Shareholder
01-04-2005
C
Y
Joseph
Francis
Helmer
President
08-01-2008
D
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
Joseph
Michael
DuCote
Senior Managing Director
08-10-2017
NA
N
72548
Caldwell Sutter Capital, Inc.
John
Caldwell
Helmer
Trustee Status:
01-04-2005
F
N
242398
Caldwell Sutter Capital, Inc.
Joseph
Francis
Helmer
Trustee
03-01-2021
F
Y
1860949
Amend
JOHN AND JINX HELMER REVOCABLE TRUST DATED JANUARY 4, 2005
N
53-4364503
Shareholder
01-04-2005
D
Y
Amend
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
Joseph
Michael
DuCote
Senior Managing Director
08-10-2017
NA
N
72548
Caldwell Sutter Capital, Inc.
John
Caldwell
Helmer
Trustee Status:
01-04-2005
F
N
242398
Delete
Caldwell Sutter Capital, Inc.
Joseph
Francis
Helmer
Trustee
03-01-2021
F
Y
1860949
NewAdd
JOHN AND JINX HELMER REVOCABLE TRUST DATED JANUARY 4, 2005
Mary
Dolores
Helmer
Founder
07-01-2017
F
Y
1176617
9-D2
9-D4
Caldwell Sutter Capital, Inc.
10489
1530731
9-D2
Caldwell Sutter Capital, Inc.
10489
148361
/Christopher Anderson/
Christopher Anderson
Chief Compliance Officer
04-20-2023
10489
N
N
N
N
N
N
N
N
Y
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N
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N
N
N
N
N
N
Y
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N