0001610503-18-000008.txt : 20180329
0001610503-18-000008.hdr.sgml : 20180329
20180329133800
ACCESSION NUMBER: 0001610503-18-000008
CONFORMED SUBMISSION TYPE: MA-A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20171231
FILED AS OF DATE: 20180327
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Caldwell Flores Winters, Inc.
CENTRAL INDEX KEY: 0001610503
IRS NUMBER: 330276406
STATE OF INCORPORATION: CA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: MA-A
SEC ACT: 1934 Act
SEC FILE NUMBER: 867-00493
FILM NUMBER: 18722136
BUSINESS ADDRESS:
STREET 1: 6425 CHRISTIE AVENUE, SUITE 270
CITY: EMERYVILLE
STATE: CA
ZIP: 94608
BUSINESS PHONE: 5105968170
MAIL ADDRESS:
STREET 1: 6425 CHRISTIE AVENUE, SUITE 270
CITY: EMERYVILLE
STATE: CA
ZIP: 94608
MA-A
1
primary_doc.xml
MA-A
0001610503
XXXXXXXX
Rosemarie Kaufman
4155169429
compliance@cfwinc.com
emilio@cfwinc.com
compliance@cfwinc.com
12-31-2017
Y
Caldwell Flores Winters, Inc.
33-0276406
866-00378-00
867-00493
6425 CHRISTIE AVENUE, SUITE 270
EMERYVILLE
CA
94608
5105968170
Add
815 Colorado Blvd, Suite 201
Los Angeles
CA
90041
3232022550
Amend
1901 Victoria Ave, Suite 106
Oxnard
CA
93035
805-263-6451
N
6425 CHRISTIE AVENUE, SUITE 270
EMERYVILLE
CA
94608
www.cfwinc.com
Rosemarie
Susan
Kaufman
4155169429
compliance@cfwinc.com
Emilio
Alejandro
Flores
CEO
6425 Christie Avenue, Suite 270
Emeryville
CA
94608
5105968170
emilio@cfwinc.com
CFW Advisory Services, LLC
Y
United State Securities and Exchange Commission
867-02098
December
CA
12-10-1987
N
18
6
0
0
0
60
Municipal Entities
Non-profit organizations
0
0
0
Not Applicable
Hourly Charges
Fixed Fees
Contingent Fees
Not Applicable
Advice Insurance Of MS
Advice ME Investments
Advice On Selection
Other
Facilities Planning and Consulting Services
Y
0
N
N
N
N
N
N
N
N
N
N
Y
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
Y
N
Ernesto
Rodriguez
Flores
President
10-31-1998
C
Y
Michael
D
Winters
Secretary
10-31-1998
C
N
Emilio
Alejandro
Flores
CEO
01-01-2016
NA
Y
Rosemarie
Susuan
Kaufman
CCO
11-01-2016
NA
Y
004343494
Amend
Ernesto
Rodriguez
Flores
President
10-31-1998
E
Y
Amend
Emilio
Alejandro
Flores
CEO
01-01-2016
NA
Y
Add
Rosemarie
Susuan
Kaufman
CCO
11-01-2016
NA
Y
004343494
9-H2
Superior Court, County of Los Angeles, State of California (Central District)
BC607335
111 North Hill Street
Los Angeles
CA
90012
The allegations of Mojave Unified School District are false and being fueled by a tax payer association who is unhappy that the bond authorization was successful. Once authorized by the voters, the bonds were sold by the issuer (Mojave Unified School District) and the Certificates of Participation were defeased in accordance with the original plan presented by Caldwell Flores Winters, Inc. We contend that the claims made in the lawsuit are without merit.
01-15-2016
Other
Issuer
Mojave Unified School District
Y
Caldwell Flores Winters, Inc.
Y
Money Damage(s) (Private/Civil Complaint)
01-18-2016
Caldwell Flores Winters, Inc., agreed to allow counsel to accept service on its behalf. Service was accepted on or about 1-18-16.
Other
General Obligation Bond Authorization - Election
Mojave Unified School District alleges negligence and breach of fiduciary duty with respect to advice given related to the amount of authorization sought from the voters. Mojave claims that the amount authorized was insufficient to both defease outstanding debt, specifically Certificates of Participation, and complete desired capital projects.
01-18-2016
See above - Caldwell Flores Winters, Inc., agreed to allow counsel to accept service on its behalf. Service was accepted on or about 1-18-16.
Rosemarie Kaufman
Rosemarie Kaufman
CCO
03-27-2018
N
N
N
N
N
Y
N
Y
N
N
N
N
Y
N
N
N
N
N
N
N
N