0001610503-23-000005.txt : 20230403 0001610503-23-000005.hdr.sgml : 20230403 20230403074247 ACCESSION NUMBER: 0001610503-23-000005 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 GHEYARA,KHUSHROO,FEROZ, 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: 23790640 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 0001610503-22-000006 N Khushroo Feroz Gheyara Y 2 0001610503 Caldwell Flores Winters, Inc. 07-15-1993 N 867-00493 LOCATED SUPERVISED 07-15-1993 2163 HARBOR BAY PARKWAY ALAMEDA CA 94502 0001678293 CFW Advisory Services, LLC 03-28-2019 N 867-02098 SUPERVISED 03-28-2019 2163 HARBOR BAY PARKWAY ALAMEDA CA 94502 07-1993 Caldwell Flores Winters Inc ALAMEDA CA 94502 Y N EXECUTIVE VICE PRESIDENT Y 08-2005 F & G 402 North Division Street Carson City NV 89703 N N Program Management Partner 20 Partner 03-2019 CFW ADVISORY SERVICES, LLC 2163 HARBOR BAY PARKWAY ALAMEDA CA 94502 Y N MUNICIPAL ADVISORY EXECUTIVE 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