0001610503-19-000013.txt : 20200102 0001610503-19-000013.hdr.sgml : 20200102 20200102090439 ACCESSION NUMBER: 0001610503-19-000013 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 SLATE,HEATHER,NICOLE, FILED AS OF DATE: 20191210 DATE AS OF CHANGE: 20200102 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: 20500283 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 Heather Nicole Slate 415-604-9537 compliance@cfwinc.com compliance@cfwinc.com N Y 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 12-10-2019 Heather Slate Chief Compliance Officer