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