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