0001610503-19-000004.txt : 20190401 0001610503-19-000004.hdr.sgml : 20190401 20190401145051 ACCESSION NUMBER: 0001610503-19-000004 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 FLORES,EMILIO,ALEJANDRO, FILED AS OF DATE: 20190328 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: 19720166 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 415-604-9528 compliance@cfwinc.com compliance@cfwinc.com emilio@cfwinc.com N N Emilio Alejandro Flores Y 2 0001610503 Caldwell Flores Winters, Inc. 09-01-2010 N 867-00493 LOCATED SUPERVISED 09-01-2010 6425 CHRISTIE AVENUE, SUITE 270 EMERYVILLE CA 94608 0001678293 CFW Advisory Services, LLC 04-05-2016 N 867-02098 LOCATED SUPERVISED 06-01-2016 601 W 1ST AVENUE SUITE 1400 SPOKANE WA 99201 09-2010 Caldwell Flores Winters Inc Emeryville CA 94608 Y N Chief Executive Officer 08-2009 08-2010 Danish Institute For Study Abroad Copenhagen G7 1456 N N Program Assistant, International Business and Global Economics 06-2009 07-2009 Lyons LLC Fernley NV 89408 N N Property Manager 08-2005 05-2009 Brown University Providence RI 02912 N N Full Time 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 03-28-2019 Lauren Halloran Chief Compliance Officer