Chief Compliance Officer

0001415889-23-002288.txt : 20230210 0001415889-23-002288.hdr.sgml : 20230210 20230210170206 ACCESSION NUMBER: 0001415889-23-002288 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20221231 FILED AS OF DATE: 20230210 DATE AS OF CHANGE: 20230210 EFFECTIVENESS DATE: 20230210 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: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-22901 FILM NUMBER: 23613167 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 13F-HR 1 primary_doc.xml X0202 13F-HR LIVE false false false 0000702007 XXXXXXXX 12-31-2022 12-31-2022 CALDWELL SUTTER CAPITAL, INC.

PO BOX 190 SAUSALITO CA 94966-0190

13F HOLDINGS REPORT 028-22901 000010489 801-66098 N Christopher Anderson Chief Compliance Officer 415-367-4982 Christopher Anderson Sausalito CA 02-10-2023 0 315 113411481 false INFORMATION TABLE 2 form13f-1676066514_infotable.xml COM 594918104 1453903 6062 SH SOLE 0 0 6062 COM 00206R102 103961 5647 SH SOLE 0 0 5647 COM 459200101 815330 5787 SH SOLE 0 0 5787 COM 844741108 42929 1275 SH SOLE 0 0 1275 COM 458140100 101570 3843 SH SOLE 0 0 3843 COM 437076102 673750 2133 SH SOLE 0 0 2133 RUS MDCP VAL ETF 464287473 6847 65 SH SOLE 0 0 65 RUSSELL 2000 ETF 464287655 26154 150 SH SOLE 0 0 150 U.S BAS MTL ETF 464287838 22459 180 SH SOLE 0 0 180 COM 023135106 20160 240 SH SOLE 0 0 240 UNIT SER 1 46090E103 151780 570 SH SOLE 0 0 570 COM 478160104 349767 1980 SH SOLE 0 0 1980 US INDUSTRIALS 464287754 19292 200 SH SOLE 0 0 200 US HLTHCARE ETF 464287762 177319 625 SH SOLE 0 0 625 U.S. ENERGY ETF 464287796 37192 800 SH SOLE 0 0 800 U.S. FINLS ETF 464287788 48376 641 SH SOLE 0 0 641 COM 58933Y105 334514 3015 SH SOLE 0 0 3015 COM 92343V104 331063 8403 SH SOLE 0 0 8403 SPONSORED ADR 055622104 1397 40 SH SOLE 0 0 40 SBI CONS STPLS 81369Y308 75370 1011 SH SOLE 0 0 1011 COM 747525103 221749 2017 SH SOLE 0 0 2017 COM 580135101 537601 2040 SH SOLE 0 0 2040 COM 17275R102 430427 9035 SH SOLE 0 0 9035 ENERGY 81369Y506 777171 8885 SH SOLE 0 0 8885 ISHARES BIOTECH 464287556 177242 1350 SH SOLE 0 0 1350 COM 806407102 23961 300 SH SOLE 0 0 300 COM NEW 369604301 23294 278 SH SOLE 0 0 278 SBI CONS DISCR 81369Y407 178370 1381 SH SOLE 0 0 1381 SBI INT-INDS 81369Y704 59908 610 SH SOLE 0 0 610 COM 724479100 10450 2750 SH SOLE 0 0 2750 COM 46625H100 525806 3921 SH SOLE 0 0 3921 COM 166764100 1750158 9751 SH SOLE 0 0 9751 COM 060505104 247983 7487 SH SOLE 0 0 7487 COM 931142103 70895 500 SH SOLE 0 0 500 COM 87612E106 96131 645 SH SOLE 0 0 645 COM 717081103 2532691 49428 SH SOLE 0 0 49428 COM 88579Y101 20386 170 SH SOLE 0 0 170 COM 375558103 40350 470 SH SOLE 0 0 470 COM 149123101 1970381 8225 SH SOLE 0 0 8225 COM 110122108 102529 1425 SH SOLE 0 0 1425 COM 756109104 1038793 16377 SH SOLE 0 0 16377 COM 02209S103 96448 2110 SH SOLE 0 0 2110 COM 25746U109 30660 500 SH SOLE 0 0 500 COM 30231G102 140062 1270 SH SOLE 0 0 1270 COM 91324P102 609707 1150 SH SOLE 0 0 1150 COM 244199105 1286 3 SH SOLE 0 0 3 COM 25179M103 340827 5541 SH SOLE 0 0 5541 COM 037833100 7350352 56572 SH SOLE 0 0 56572 COM 002824100 19213 175 SH SOLE 0 0 175 COM 254687106 76889 885 SH SOLE 0 0 885 RUS 1000 VAL ETF 464287598 34728 229 SH SOLE 0 0 229 TECHNOLOGY 81369Y803 153932 1237 SH SOLE 0 0 1237 COM 855244109 793269 7997 SH SOLE 0 0 7997 COM 680223104 156975 6500 SH SOLE 0 0 6500 COM 22160K105 1921897 4210 SH SOLE 0 0 4210 COM 38141G104 160358 467 SH SOLE 0 0 467 COM 364760108 1128 100 SH SOLE 0 0 100 COM 742718109 198695 1311 SH SOLE 0 0 1311 COM 191216100 62108 976 SH SOLE 0 0 976 COM 674599105 41573 660 SH SOLE 0 0 660 CL B 911312106 48675 280 SH SOLE 0 0 280 COM 553498106 4094852 28399 SH SOLE 0 0 28399 COM 857477103 442149 5700 SH SOLE 0 0 5700 COM 189054109 378891 2700 SH SOLE 0 0 2700 COM 64110L106 14744 50 SH SOLE 0 0 50 COM 577081102 8920 500 SH SOLE 0 0 500 COM 044186104 2903 27 SH SOLE 0 0 27 COM 486606106 1561686 182440 SH SOLE 0 0 182440 COM H1467J104 41032 186 SH SOLE 0 0 186 COM 573874104 182459 4926 SH SOLE 0 0 4926 COM 713448108 944976 5231 SH SOLE 0 0 5231 COM 278279104 9005 812 SH SOLE 0 0 812 COM 345370860 174276 14985 SH SOLE 0 0 14985 COM NEW 902973304 145134 3328 SH SOLE 0 0 3328 RUS 2000 VAL ETF 464287630 6656 48 SH SOLE 0 0 48 GOLD SHS 78463V107 22732 134 SH SOLE 0 0 134 RUS 1000 GRW ETF 464287614 47347 221 SH SOLE 0 0 221 COM 680033107 1109887 61729 SH SOLE 0 0 61729 COM 550241103 355 68 SH SOLE 0 0 68 CAP STK CL A 02079K305 22940 260 SH SOLE 0 0 260 COM 69331C108 43902 2700 SH SOLE 0 0 2700 CL A 21036P108 29432 127 SH SOLE 0 0 127 COM 126650100 11556 124 SH SOLE 0 0 124 COM 097023105 101161 531 SH SOLE 0 0 531 CL B 654106103 293695 2510 SH SOLE 0 0 2510 CL A 03748R747 788184 110700 SH SOLE 0 0 110700 COM 49446R109 3516 166 SH SOLE 0 0 166 COM 931427108 7472 200 SH SOLE 0 0 200 COM 95040Q104 104880 1600 SH SOLE 0 0 1600 COM 316773100 11287 344 SH SOLE 0 0 344 COM 929740108 1098 11 SH SOLE 0 0 11 COM 595112103 29488 590 SH SOLE 0 0 590 COM 29364G103 33750 300 SH SOLE 0 0 300 COM 552690109 30340 1000 SH SOLE 0 0 1000 RUS MD CP GR ETF 464287481 8527 102 SH SOLE 0 0 102 COM NEW 670002401 14392 1400 SH SOLE 0 0 1400 CL A 92826C839 3636216 17502 SH SOLE 0 0 17502 COM 487836108 24222 340 SH SOLE 0 0 340 COM 67072C105 232927 34254 SH SOLE 0 0 34254 COM 228368106 88047 1071 SH SOLE 0 0 1071 NY REGIS SHS NEW 500472303 19800 1321 SH SOLE 0 0 1321 COM 49456B101 4791 265 SH SOLE 0 0 265 COM 29250N105 993899 25419 SH SOLE 0 0 25419 COM 67066G104 131964 903 SH SOLE 0 0 903 COM 293389102 172848 7800 SH SOLE 0 0 7800 COM 690732102 7812 400 SH SOLE 0 0 400 COM 90278Q108 79250 1000 SH SOLE 0 0 1000 COM 419870100 246915 5900 SH SOLE 0 0 5900 RUS 2000 GRW ETF 464287648 7079 33 SH SOLE 0 0 33 COM NEW 46120E602 7961 30 SH SOLE 0 0 30 COM 125523100 22531 68 SH SOLE 0 0 68 COM 682680103 42048 640 SH SOLE 0 0 640 CL A 00912X302 30736 800 SH SOLE 0 0 800 COM 235851102 861819 3247 SH SOLE 0 0 3247 COM 912909108 72645 2900 SH SOLE 0 0 2900 COM 003009107 44973 17100 SH SOLE 0 0 17100 COM 06759X107 1054231 75518 SH SOLE 0 0 75518 COM 198516106 236466 2700 SH SOLE 0 0 2700 COM 670346105 330843 2510 SH SOLE 0 0 2510 COM 698813102 7408 90 SH SOLE 0 0 90 COM 85569C107 4688 1250 SH SOLE 0 0 1250 MSCI BELGIUM ETF 464286301 2509 140 SH SOLE 0 0 140 GLOBAL ENERGY ETF 464287341 7603 195 SH SOLE 0 0 195 TR UNIT 85208R101 91443 5100 SH SOLE 0 0 5100 COM NEW 222795502 6828 270 SH SOLE 0 0 270 COM 631103108 184050 3000 SH SOLE 0 0 3000 COM 904214103 30595 1714 SH SOLE 0 0 1714 COM 81211K100 17258 346 SH SOLE 0 0 346 COM NEW 893617209 207646 4700 SH SOLE 0 0 4700 COM 929160109 17336 99 SH SOLE 0 0 99 UNIT LTD PARTN 01881G106 48977 1425 SH SOLE 0 0 1425 ENERGY ETF 92204A306 653093 5385 SH SOLE 0 0 5385 SPON ADS 780259305 39865 700 SH SOLE 0 0 700 COM 867892101 154560 16000 SH SOLE 0 0 16000 COM 19247X100 61140 3000 SH SOLE 0 0 3000 COM 607828100 453563 22838 SH SOLE 0 0 22838 CL A 968223206 1377595 34388 SH SOLE 0 0 34388 COM 126600105 130501 5068 SH SOLE 0 0 5068 ISHARES 46428Q109 3523 160 SH SOLE 0 0 160 COM 42809H107 43964 310 SH SOLE 0 0 310 MSCI SWITZERLAND 464286749 5870 140 SH SOLE 0 0 140 CL A 57636Q104 245150 705 SH SOLE 0 0 705 COM 92532F100 144390 500 SH SOLE 0 0 500 COM 029174109 2211107 86203 SH SOLE 0 0 86203 COM 05368M106 27540 2000 SH SOLE 0 0 2000 CL A 257701201 2964733 208784 SH SOLE 0 0 208784 SMALL CP ETF 922908751 5506 30 SH SOLE 0 0 30 MID CAP ETF 922908629 6114 30 SH SOLE 0 0 30 COM 320734106 159921 8885 SH SOLE 0 0 8885 FINANCIAL 81369Y605 456032 13334 SH SOLE 0 0 13334 COM 140501107 727229 42528 SH SOLE 0 0 42528 COM NEW 47733C207 23940 4200 SH SOLE 0 0 4200 COM 48242W106 52800 1000 SH SOLE 0 0 1000 COM 253868103 15542 155 SH SOLE 0 0 155 COM 864159108 281245 5556 SH SOLE 0 0 5556 US OIL GS EX ETF 464288851 18572 200 SH SOLE 0 0 200 US AER DEF ETF 464288760 44744 400 SH SOLE 0 0 400 COM 149150104 95857 2350 SH SOLE 0 0 2350 CL A 31946M103 7584 10 SH SOLE 0 0 10 COM 458685104 2716903 57647 SH SOLE 0 0 57647 COM UT LTD PTN 29273V100 182798 15400 SH SOLE 0 0 15400 COM 640491106 628207 41248 SH SOLE 0 0 41248 COM 02553E106 55840 4000 SH SOLE 0 0 4000 GROWTH ETF 922908736 64836 304 SH SOLE 0 0 304 COM 376546107 164557 12746 SH SOLE 0 0 12746 COM 904607108 41265 25504 SH SOLE 0 0 25504 S&P METALS MNG 78464A755 35365 710 SH SOLE 0 0 710 ALLWRLD EX US 922042775 2006 40 SH SOLE 0 0 40 FINL PFD ETF 46137V621 4770 331 SH SOLE 0 0 331 UT LTD PARTNER 131476103 100267 5940 SH SOLE 0 0 5940 CL A 855668109 1472 200 SH SOLE 0 0 200 COM 09260D107 7419 100 SH SOLE 0 0 100 DYNMC LRG GWTH 46137V746 113506 1900 SH SOLE 0 0 1900 COM 928563402 982 8 SH SOLE 0 0 8 COM 903002103 1376453 85494 SH SOLE 0 0 85494 VAN FTSE DEV MKT 921943858 20188 481 SH SOLE 0 0 481 S&P BK ETF 78464A797 21446 475 SH SOLE 0 0 475 COM NEW 50077B207 92880 9000 SH SOLE 0 0 9000 COM 532746104 659 54 SH SOLE 0 0 54 DIV APP ETF 921908844 37963 250 SH SOLE 0 0 250 COM 72200M108 20370 3000 SH SOLE 0 0 3000 PRTFLO S&P500 GW 78464A409 50670 1000 SH SOLE 0 0 1000 COM 718172109 202420 2000 SH SOLE 0 0 2000 COM 063425102 922218 28048 SH SOLE 0 0 28048 DYNMC FOOD BEV 46137V753 188346 4126 SH SOLE 0 0 4126 COM 91332U101 270461 9460 SH SOLE 0 0 9460 COM 06759L103 15958 1958 SH SOLE 0 0 1958 COM 866264203 2674087 169246 SH SOLE 0 0 169246 SH BEN INT 06761A103 557813 45277 SH SOLE 0 0 45277 COM 73933H101 7588 1921 SH SOLE 0 0 1921 COM 760416107 3098 1441 SH SOLE 0 0 1441 PFD ETF 46138E511 3703 331 SH SOLE 0 0 331 COM 101507101 178359 14044 SH SOLE 0 0 14044 COM 700885106 2096441 101082 SH SOLE 0 0 101082 COM 666762109 674867 12367 SH SOLE 0 0 12367 DEPOSITRY RCPT 644206104 1964144 27664 SH SOLE 0 0 27664 COM 155123102 212955 6378 SH SOLE 0 0 6378 COM 204157101 1175025 78492 SH SOLE 0 0 78492 CL A 755408101 2770 1000 SH SOLE 0 0 1000 COM NEW 15117B202 15600 350 SH SOLE 0 0 350 CL A 638517102 674400 2400 SH SOLE 0 0 2400 COM 675234108 169235 7964 SH SOLE 0 0 7964 COM 896095106 138642 2719 SH SOLE 0 0 2719 FTSE SMCAP ETF 922042718 4112 40 SH SOLE 0 0 40 COM UNIT 09225M101 1783159 105700 SH SOLE 0 0 105700 COM 29270J100 102450 5000 SH SOLE 0 0 5000 COM 285233102 954516 211176 SH SOLE 0 0 211176 COM 563420108 682900 170725 SH SOLE 0 0 170725 COM SHS BEN INT 67623C109 72584 5437 SH SOLE 0 0 5437 COM 07272M107 1579212 83204 SH SOLE 0 0 83204 CL A 817070501 19565 321 SH SOLE 0 0 321 CL B NEW 084670702 438020 1418 SH SOLE 0 0 1418 COM 155685100 424511 20043 SH SOLE 0 0 20043 UNIT 85207H104 14100 1000 SH SOLE 0 0 1000 CL A 084670108 468711 1 SH SOLE 0 0 1 COM 65339F101 39710 475 SH SOLE 0 0 475 COM 88160R101 70829 575 SH SOLE 0 0 575 COM SH BEN INT 294628102 144476 5786 SH SOLE 0 0 5786 COM NEW 70336F203 955060 90100 SH SOLE 0 0 90100 COM 832156103 377405 18410 SH SOLE 0 0 18410 PARTNERSHIP UNIT G16258108 16142 637 SH SOLE 0 0 637 S&P 500 ETF SHS 922908363 12297 35 SH SOLE 0 0 35 TR UNIT 85207K107 84872 10300 SH SOLE 0 0 10300 COM 032159105 631577 54682 SH SOLE 0 0 54682 COM 769397100 142080 18500 SH SOLE 0 0 18500 COM NEW 006743306 98565 67976 SH SOLE 0 0 67976 COM 65406E102 90083 1129 SH SOLE 0 0 1129 COM 56064Y100 242407 8818 SH SOLE 0 0 8818 COM NEW 638842302 3743006 446127 SH SOLE 0 0 446127 COM NEW 806870200 82 270 SH SOLE 0 0 270 COM 05990K106 31860 2000 SH SOLE 0 0 2000 CL A 30303M102 406148 3375 SH SOLE 0 0 3375 COM 095229100 51 2 SH SOLE 0 0 2 COM NEW 65340G205 417449 37239 SH SOLE 0 0 37239 CL A 609207105 78980 1185 SH SOLE 0 0 1185 COM 08579W103 9608 159 SH SOLE 0 0 159 CL A 98138H101 187744 1122 SH SOLE 0 0 1122 COM 25278X109 3693 27 SH SOLE 0 0 27 COM UNIT REP LTD 55336V100 131360 4000 SH SOLE 0 0 4000 COM 664121100 149200 10000 SH SOLE 0 0 10000 COM 00287Y109 287666 1780 SH SOLE 0 0 1780 COM NEW 65373J209 971296 154174 SH SOLE 0 0 154174 COM 06760L100 234580 18500 SH SOLE 0 0 18500 COM 320557101 1582643 65183 SH SOLE 0 0 65183 COM 30263Y104 550690 16468 SH SOLE 0 0 16468 COM 83600C103 2380 1315 SH SOLE 0 0 1315 COM 872590104 35000 250 SH SOLE 0 0 250 COM 425885100 4242 505 SH SOLE 0 0 505 COM 88677Q109 65700 15000 SH SOLE 0 0 15000 CL A 16119P108 2374 7 SH SOLE 0 0 7 COM 861780104 34779 2041 SH SOLE 0 0 2041 LTD PRTRSHIP U 85814R107 377111 8811 SH SOLE 0 0 8811 0-5YR INVT GR CP 46434V100 3590 75 SH SOLE 0 0 75 COM 00181T107 2994073 86210 SH SOLE 0 0 86210 COM 70319R109 294239 15373 SH SOLE 0 0 15373 CAP STK CL C 02079K107 10648 120 SH SOLE 0 0 120 COM NEW 125525584 1913180 390445 SH SOLE 0 0 390445 CL A NEW 25401T603 32087 2933 SH SOLE 0 0 2933 COM SER C FRMLA 531229854 10222 171 SH SOLE 0 0 171 COM 32026V104 337486 23551 SH SOLE 0 0 23551 COM 49338L103 1046093 6115 SH SOLE 0 0 6115 COM SER C 530307305 13652 179 SH SOLE 0 0 179 COM 30292L107 218995 4066 SH SOLE 0 0 4066 6.5% CNV PFD D 294628201 105220 4200 SH SOLE 0 0 4200 LTD USD ORD SHS G6564A105 21067 1222 SH SOLE 0 0 1222 COM 70450Y103 7193 101 SH SOLE 0 0 101 COM NEW 83190L208 781853 28431 SH SOLE 0 0 28431 COM NEW 888314606 2 2 SH SOLE 0 0 2 COM 126402106 989578 8536 SH SOLE 0 0 8536 COM 42824C109 19152 1200 SH SOLE 0 0 1200 COM NEW 02341Q205 1138309 6289 SH SOLE 0 0 6289 CL A 74967R106 135515 4797 SH SOLE 0 0 4797 COM 34959J108 288097 4484 SH SOLE 0 0 4484 COM 92047W101 2416 74 SH SOLE 0 0 74 COM 714167103 2211839 234057 SH SOLE 0 0 234057 CL A 02215L209 2312292 69900 SH SOLE 0 0 69900 COM 38741L107 262640 49000 SH SOLE 0 0 49000 COM 26873J107 16040 8487 SH SOLE 0 0 8487 COM 13005U101 73456 3089 SH SOLE 0 0 3089 CUM CONV PFD A 74965L200 95160 4000 SH SOLE 0 0 4000 COM 26614N102 12559 183 SH SOLE 0 0 183 COM 67077M108 18404 252 SH SOLE 0 0 252 COM SHS BEN INT 456237106 62562 19132 SH SOLE 0 0 19132 CL A 92645B103 177641 6621 SH SOLE 0 0 6621 COM 022671101 169229 7345 SH SOLE 0 0 7345 COMMUNICATION 81369Y852 88734 1849 SH SOLE 0 0 1849 CL B 257554105 2236 157 SH SOLE 0 0 157 COM CL 2 88688T100 2152 800 SH SOLE 0 0 800 COM 28414H103 10900 892 SH SOLE 0 0 892 COM NEW 852066208 11666 350 SH SOLE 0 0 350 CL C 24703L202 764 19 SH SOLE 0 0 19 COM 260557103 223379 4433 SH SOLE 0 0 4433 COM 22052L104 4879 83 SH SOLE 0 0 83 COM 29415F104 138586 4116 SH SOLE 0 0 4116 COM 928881101 34659 1793 SH SOLE 0 0 1793 COM 27627N105 232875 13500 SH SOLE 0 0 13500 COM 92556V106 4051 364 SH SOLE 0 0 364 COM 45580R103 326037 5135 SH SOLE 0 0 5135 COM G6293A103 13523 7817 SH SOLE 0 0 7817 COM 165167735 200536 2125 SH SOLE 0 0 2125 COM 68622E104 328624 220553 SH SOLE 0 0 220553 COM 68622V106 4106 147 SH SOLE 0 0 147 US TARGETED VLU 25434V609 4922 112 SH SOLE 0 0 112 US EQUITY ETF 25434V401 94205 2264 SH SOLE 0 0 2264 CL A 44951Y102 155 100 SH SOLE 0 0 100 COM 549498103 6830 1000 SH SOLE 0 0 1000 CL A 85256A109 455814 73400 SH SOLE 0 0 73400 COM 843878307 665676 22994 SH SOLE 0 0 22994 ROUNDHILL BALL 53656F417 17878 2490 SH SOLE 0 0 2490 COM 50155Q100 7439 669 SH SOLE 0 0 669 COM 68629Y103 4168 488 SH SOLE 0 0 488 CL B 968223305 13825 350 SH SOLE 0 0 350 COM SER A 934423104 13594 1434 SH SOLE 0 0 1434 US MKTWIDE VALUE 25434V724 90396 2700 SH SOLE 0 0 2700 COM 14159C103 8587 8101 SH SOLE 0 0 8101