0001610503-19-000001.txt : 20190225
0001610503-19-000001.hdr.sgml : 20190225
20190225161746
ACCESSION NUMBER: 0001610503-19-000001
CONFORMED SUBMISSION TYPE: MA-I/A
PUBLIC DOCUMENT COUNT: 1
CRUZ,ERICK,ANTHONY,
FILED AS OF DATE: 20190222
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-I/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 868-02698
FILM NUMBER: 19629696
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-I/A
1
primary_doc.xml
MA-I/A
0001610503
XXXXXXXX
Lauren Halloran
4155169429
compliance@cfwinc.com
compliance@cfwinc.com
N
Y
Erick
Anthony
Cruz
N
1
0001610503
Caldwell Flores Winters, Inc.
04-04-2018
N
867-00493
LOCATED
SUPERVISED
04-04-2018
6425 CHRISTIE AVENUE, SUITE 270
EMERYVILLE
CA
94608
04-2018
Caldwell Flores Winters, Inc.
EMERYVILLE
CA
94608
Y
N
Analyst
07-2017
03-2018
Wulff, Hansen & Co
SAN RAFAEL
CA
94903
Y
Y
Analyst
08-2016
05-2017
Dale Scott & Company
SAN FRANCISCO
CA
94108
Y
N
Public Financial Analyst
04-2016
08-2016
MatchPoint Soltuions
DUBLIN
CA
94568
N
N
Temp
01-2016
03-2016
WestEd
SAN FRANCISCO
CA
94107
N
N
Temp
03-2014
01-2016
Metropolitan Transportation Commission
OAKLAND
CA
94607
N
N
Finance Intern
06-2010
12-2014
San Francisco State University
SAN FRANCISCO
CA
94132
N
N
Student
01-2008
06-2010
De Anza High School
RICHMOND
CA
94803
N
N
Student
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
N
02-15-2019
Lauren Halloran
Chief Compliance Officer