0001610503-19-000002.txt : 20190405 0001610503-19-000002.hdr.sgml : 20190405 20190405101411 ACCESSION NUMBER: 0001610503-19-000002 CONFORMED SUBMISSION TYPE: MA-A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181231 FILED AS OF DATE: 20190327 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: 19733715 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 Lauren Halloran 415-604-9258 compliance@cfwinc.com emilio@cfwinc.com compliance@cfwinc.com 12-31-2018 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 805-201-1989 N 6425 CHRISTIE AVENUE, SUITE 270 EMERYVILLE CA 94608 www.cfwinc.com Lauren Eileen Halloran

6425 CHRISTIE AVENUE, SUITE 270 Emeryville CA 94608

415-604-9528 compliance@cfwinc.com Emilio Alejandro Flores

6425 Christie Avenue, Suite 270 Emeryville CA 94608

5105968170 emilio@cfwinc.com CFW Advisory Services, LLC Y United States Securities and Exchange Commission 867-02098 December CA 12-10-1987 N 20 5 0 0 0 47 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 Item 4- Employee Count is as of 3/5/2019 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 E Y 000000000 Emilio Alejandro Flores CEO 01-01-2016 NA Y 000000000 Rosemarie Susuan Kaufman CCO 11-01-2016 NA Y 004343494 Amend Ernesto Rodriguez Flores President 10-31-1998 E Y 000000000 Amend Emilio Alejandro Flores CEO 01-01-2016 NA Y 000000000 Delete Rosemarie Susuan Kaufman CCO 11-01-2016 NA Y 004343494 Add Lauren Eileen Halloran Chief Compliance Officer 09-02-2001 NA Y 000000000 9-H2 Superior Court, County of Los Angeles, State of California (Central District) BC607335 111 North Hill Street Los Angeles CA 90012 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. Lauren Halloran Lauren Halloran Chief Compliance Officer 03-27-2019 N N N N N Y N Y N N N N Y N N N N N N N N