0001610503-19-000007.txt : 20190401 0001610503-19-000007.hdr.sgml : 20190401 20190401145217 ACCESSION NUMBER: 0001610503-19-000007 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 GREENLEE,JOHN,BENNETT, 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: 19720183 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 emilio@cfwinc.com compliance@cfwinc.com N N John Bennett Greenlee Y 2 0001610503 Caldwell Flores Winters, Inc. 09-10-2013 N 867-00493 LOCATED SUPERVISED 09-10-2013 6425 CHRISTIE AVENUE, SUITE 270 EMERYVILLE CA 94608 0001678293 CFW Advisory Services, LLC 03-28-2019 N 867-02098 SUPERVISED 03-28-2019 601 W 1ST STREET SUITE 1400 SPOKANE WA 99201 09-2013 Caldwell Flores Winters Inc Emeryville CA 94608 Y N Managing Director 04-2012 08-2013 Greenlee Advisors SAN FRANCISCO CA 94131 Y N Sole Proprietor 03-2008 03-2012 Nollenberger Capital Partners Inc. SAN FRANCISCO CA 94101 Y Y Managing Director 01-2001 12-2007 Bank of New York LOS ANGELES CA 90071 N Y Managing Director 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 Mr. Greenlee failed to file timely income tax returns for tax years 2010-2013 with the IRS and the State of California Franchise Tax Board. As a result, certain penalties and late fees accrued. The necessary tax forms and filings to remedy the delinquency have since been made. Mr. Greenlee is in negotiations with tax authorities to come to a new settlement and a form of resolution is anticipated to be achieved sometime between October and November of 2018. N 6M 39551.00 IRS Tax 02-21-2014 Other IRS IRS 555043312 1 Dr. Carlton Goodlet Place, Room 190 San Francisco CA 94102 555043312