0001610503-19-000012.txt : 20191202
0001610503-19-000012.hdr.sgml : 20191202
20191202101721
ACCESSION NUMBER: 0001610503-19-000012
CONFORMED SUBMISSION TYPE: MA-I
PUBLIC DOCUMENT COUNT: 1
SLATE,HEATHER,NICOLE,
FILED AS OF DATE: 20191127
DATE AS OF CHANGE: 20191202
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
SEC ACT: 1934 Act
SEC FILE NUMBER: 868-02698
FILM NUMBER: 191262362
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
1
primary_doc.xml
MA-I
0001610503
XXXXXXXX
Heather Nicole Slate
415-604-9537
compliance@cfwinc.com
compliance@cfwinc.com
N
N
Heather
Nicole
Slate
2698629
N
1
0001610503
Caldwell Flores Winters, Inc.
11-14-2019
Y
867-00493-00
LOCATED
SUPERVISED
11-14-2019
6425 CHRISTIE AVENUE, SUITE 270
EMERYVILLE
CA
94608
Heather
Nicole
Conlan
11-2019
Greyline Partners, LLC
San Francisco
CA
94104
N
N
Senior Vice President
01-2018
11-2019
Gordian Compliance Solutions, LLC
San Francisco
CA
94104
N
N
Senior Compliance Consultant
08-2015
01-2018
Salient
San Francisco
CA
94104
N
N
Director, Compliance
02-2011
08-2015
Lateef Investment Management, LP
San Rafael
CA
94901
N
N
Chief Compliance Officer
03-2010
02-2011
unemployed
Petaluma
CA
94952
N
N
unemployed
04-2007
03-2010
Envestnet Asset Management
Chicago
IL
60601
N
N
Vice President
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
11-27-2019
Heather Nicole Slate
Chief Compliance Officer