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