0001610503-21-000005.txt : 20210601 0001610503-21-000005.hdr.sgml : 20210601 20210601125551 ACCESSION NUMBER: 0001610503-21-000005 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 GOIL,SUMEET,NMN, FILED AS OF DATE: 20210525 DATE AS OF CHANGE: 20210601 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: 21984135 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 510-596-8180 compliance@cfwinc.com N Y Sumeet NMN Goil Y 1 0001678293 CFW Advisory Services, LLC 06-04-2018 Y 867-02098 LOCATED SUPERVISED 06-10-2019 6425 CHRISTIE AVENUE, SUITE 270 EMERYVILLE CA 94608 06-2018 Caldwells Flores Winters, Inc Emeryville CA 94608 Y N Executive Vice President 07-2012 05-2018 RENEW SCHOOLS NEW ORLEANS LA 70115 N N EXECUTIVE DIRECTOR OF DATA & ASSESSMENT 06-2010 06-2012 THE ACHIEVEMENT NETWORK BOSTON MA 02108 N N NETWORK SUPPORT ANALYST 06-2009 05-2010 NEW SECTOR ALLIANCE BOSTON MA 02108 N N RESIDENT IN SOCIAL ENTERPRISE 05-2008 05-2009 STUDENT AT BROWN UNIVERSITY PROVIDENCE RI 02912 N N STUDENT 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 05-25-2021 Heather Slate Chief Compliance Officer