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