0001610503-19-000008.txt : 20190401
0001610503-19-000008.hdr.sgml : 20190401
20190401145201
ACCESSION NUMBER: 0001610503-19-000008
CONFORMED SUBMISSION TYPE: MA-I/A
PUBLIC DOCUMENT COUNT: 1
GHEYARA,KHUSHROO,FEROZ,
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: 19720177
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
Khushroo
Feroz
Gheyara
Y
2
0001610503
Caldwell Flores Winters, Inc.
07-15-1993
N
867-00493
LOCATED
SUPERVISED
07-15-1993
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
07-1993
Caldwell Flores Winters Inc
Emeryville
CA
94608
Y
N
EXECUTIVE VICE PRESIDENT
Y
08-2005
F & G
402 North Division Street
Carson City
NV
89703
N
N
Program Management
Partner
20
Partner
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