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