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