0001610503-21-000004.txt : 20210420 0001610503-21-000004.hdr.sgml : 20210420 20210420131602 ACCESSION NUMBER: 0001610503-21-000004 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 YEW,JOSEPH,THOMAS,JR FILED AS OF DATE: 20210420 DATE AS OF CHANGE: 20210420 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: 21836998 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 Compliance 510-596-8180 compliance@cfwinc.com N Y Joseph Thomas Yew Jr 1767976 N 1 0001610503 Caldwell Flores Winters, Inc. 09-14-2020 N 867-00493-00 LOCATED 09-14-2020 6425 CHRISTIE AVENUE, SUITE 270 EMERYVILLE CA 94608 09-2020 Caldwell Flores Winters Inc Emeryville CA 94608 Y N Managing Director 04-2019 09-2020 HARRIS & ASSOCIATES CONCORD CA 94520 Y N SENIOR DIRECTOR 05-2012 04-2019 HILLTOP SECURITIES CONCORD CA 94520 Y N DIRECTOR 03-2012 05-2012 UNEMPLOYED SAN FRANCISCO CA 94121 N N UNEMPLOYED 02-2009 03-2012 CITY OF OAKLAND OAKLAND CA 94612 N N FINANCE DIRECTOR 10-2006 02-2009 SAN FRANCISCO PUBLIC UTILITIES COMMISSION SAN FRANCISCO CA 94104 N N FINANCE DIRECTOR 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 04-20-2021 Heather Slate Chief Compliance Officer