0001610503-19-000006.txt : 20190401 0001610503-19-000006.hdr.sgml : 20190401 20190401145232 ACCESSION NUMBER: 0001610503-19-000006 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 RODRIGUEZ,MIGUEL,ANGEL, 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: 19720187 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 415-429-9528 compliance@cfwinc.com compliance@cfwinc.com emilio@cfwinc.com N N Miguel Angel Rodriguez N 1 0001610503 Caldwell Flores Winters, Inc. 06-19-2006 N 867-00493 LOCATED SUPERVISED 06-19-2006 6425 CHRISTIE AVENUE, SUITE 270 EMERYVILLE CA 94608 06-2006 Caldwell Flores Winters Inc EMERYVILLE CA 94608 Y N Vice President 08-2004 06-2006 Massachusetts Institute of Technology CAMBRIDGE MA 02139 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