0001610503-19-000009.txt : 20190416
0001610503-19-000009.hdr.sgml : 20190416
20190416160837
ACCESSION NUMBER: 0001610503-19-000009
CONFORMED SUBMISSION TYPE: MA-I/A
PUBLIC DOCUMENT COUNT: 1
RODRIGUEZ,MIGUEL,ANGEL,
FILED AS OF DATE: 20190416
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: 19751071
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
N
Y
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
04-16-2019
Lauren Halloran
Chief Compliance Officer