0000702007-23-000007.txt : 20240104 0000702007-23-000007.hdr.sgml : 20240104 20240104152500 ACCESSION NUMBER: 0000702007-23-000007 CONFORMED SUBMISSION TYPE: MA-A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230930 FILED AS OF DATE: 20231229 DATE AS OF CHANGE: 20240104 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CALDWELL SUTTER CAPITAL, INC. CENTRAL INDEX KEY: 0000702007 ORGANIZATION NAME: 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: 24511488 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 09-30-2023 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 24 2 2 0 0 3 Municipal Entities 0 0 0 Not Applicable Hourly Charges 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 Amend Investment Adviser Joseph F. Helmer Joseph F. Helmer Y Y N Delete Investment Adviser Richard A. Saso Investment Adviser Representative N N N NewAdd Investment Adviser Susan D. Metcalf Susan D. Metcalf 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 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 D Y 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 JOHN AND JINX HELMER REVOCABLE TRUST DATED JANUARY 4, 2005 Mary Dolores Helmer Founder 07-01-2017 F Y 1176617 Amend JOHN AND JINX HELMER REVOCABLE TRUST DATED JANUARY 4, 2005 N 53-4364503 Shareholder 01-04-2005 C Y Amend Joseph Francis Helmer President 08-01-2008 C 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 JOHN AND JINX HELMER REVOCABLE TRUST DATED JANUARY 4, 2005 Mary Dolores Helmer Founder 07-01-2017 F Y 1176617 NewAdd John & Jinx Helmer Revocable Trust dtd 1/4/05 Joseph Francis Helmer Trustee 03-01-2021 F Y 1860949 9-D2 9-D4 Caldwell Sutter Capital, Inc. 10489 1530731 9-D2 Caldwell Sutter Capital, Inc. 10489 148361 /Christopher W. Anderson/ Christopher W. Anderson Chief Compliance Officer 12-29-2023 5085595 N N N N N N N N Y N N N N N N N N N Y N N