0001610503-20-000002.txt : 20200304 0001610503-20-000002.hdr.sgml : 20200304 20200304150906 ACCESSION NUMBER: 0001610503-20-000002 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 KELLY-TUASON,DAVID,VINCENT, FILED AS OF DATE: 20200226 DATE AS OF CHANGE: 20200304 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: 20686846 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 Slate 415-516-8180 compliance@cfwinc.com N N David Vincent Kelly-Tuason N 1 0001610503 Caldwell Flores Winters, Inc. 01-03-2017 N 867-00493 LOCATED SUPERVISED 01-03-2017 6425 CHRISTIE AVENUE, SUITE 270 EMERYVILLE CA 94608 01-2017 Caldwell Flores Winters, Inc Emeryville CA 94608 Y N Financial Analyst 04-2016 12-2016 INDEPENDENT CONTRACTOR (LYFT AND UBER) OAKLAND CA 94612 N N Driver 10-2009 03-2016 CITY AND COUNTY OF SAN FRANCISCO SAN FRANCISCO CA 94102 N N Administrative Assistant 12-2006 09-2009 NEW STUDENT SERVICES, UNIVERSIT OF CALIFORNIA, BERKELEY BERKELEY CA 94703 N N Coordinator, Counselor, Clerk Y 03-2016 Independent contractor (Lyft and Uber) 1425 Lakeside Dr Apt 103 Oakland CA 94612 N N Ride sharing Driver 10 Provide on-demand, curb-to-curb transportation 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 02-26-2020 Heather Slate Chief Compliance Officer