0000702007-23-000004.txt : 20230427 0000702007-23-000004.hdr.sgml : 20230427 20230427081050 ACCESSION NUMBER: 0000702007-23-000004 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 CROTTY,ROBERT,SEAN, FILED AS OF DATE: 20230426 DATE AS OF CHANGE: 20230427 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: 23852047 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 kathleen@cald.com N N Robert Sean Crotty 6224640 N 1 0000702007 CALDWELL SUTTER CAPITAL, INC. 07-07-2022 N 867-02278 LOCATED SUPERVISED 04-26-2023 140 E. Town Street Suite 1270 Columbus OH 43215 07-2022 Caldwell Sutter Capital, Inc. Columbus OH 43215 Y Y Senior Vice President 07-2015 07-2022 Boenning & Scattergood, Inc. Columbus OH 43215 Y Y Vice President 09-2014 06-2015 Unemployed Columbus OH 43215 N N Unemployed 07-2013 09-2014 Lancaster Pollard & Co. Columbus OH 43215 N Y Associate 06-2011 05-2013 University of North Carolina Chapel Hill NC 27599 N N Student Y 08-2019 RMC Homes LLC 2450 Bloxom Street Grove City OH 43123 N N Real Estate/Rental Property Ownership Managing Member 2 Landlord activities including leases, repairs and cleaning. 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 04-26-2023 /Christopher Anderson/ Chief Compliance Officer