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