0001610503-23-000002.txt : 20230403 0001610503-23-000002.hdr.sgml : 20230403 20230403074319 ACCESSION NUMBER: 0001610503-23-000002 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 KELLY-TUASON,DAVID,VINCENT, FILED AS OF DATE: 20230331 DATE AS OF CHANGE: 20230403 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: 23790643 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 Emilio Flores 510-596-8170 emilio@cfwinc.com compliance@cfwinc.com N 0001610503-22-000005 N David Vincent Kelly-Tuason Y 2 0001610503 Caldwell Flores Winters, Inc. 01-03-2017 N 867-00493 LOCATED SUPERVISED 01-03-2017 2163 HARBOR BAY PARKWAY ALAMEDA CA 94502 0001678293 CFW Advisory Services, LLC 01-03-2017 N 867-02098 SUPERVISED 01-03-2017 2163 HARBOR BAY PARKWAY ALAMEDA CA 94502 DAVID VINCENT KELLY 01-2017 Caldwell Flores Winters, Inc ALAMEDA CA 94502 Y N ASSISTANT VICE PRESIDENT 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 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 01-2017 CFW ADVISORY SERVICES, LLC 2163 HARBOR BAY PARKWAY ALAMEDA WA 94502 Y N MUNICIPAL ADVISORY ASSISTANT VICE PRESIDENT 40 MUNICIPAL ADVISORY SERVICES 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 03-31-2023 Emilio Flores Chief Executive Officer