0000702007-17-000012.txt : 20171030 0000702007-17-000012.hdr.sgml : 20171030 20171030162646 ACCESSION NUMBER: 0000702007-17-000012 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20171027 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CALDWELL SUTTER CAPITAL, INC. CENTRAL INDEX KEY: 0000702007 IRS NUMBER: 942799654 STATE OF INCORPORATION: CA FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: MA-I/A SEC ACT: 1934 Act SEC FILE NUMBER: 868-05328 FILM NUMBER: 171162647 BUSINESS ADDRESS: STREET 1: 30 LIBERTY SHIP WAY #3225 CITY: SAUSALITO STATE: CA ZIP: 94965-3324 BUSINESS PHONE: 415-367-4981 MAIL ADDRESS: STREET 1: PO BOX 190 CITY: SAUSALITO STATE: CA ZIP: 94966-0190 FORMER COMPANY: FORMER CONFORMED NAME: CALDWELL SECURITIES, INC DATE OF NAME CHANGE: 20100708 FORMER COMPANY: FORMER CONFORMED NAME: CALDWELL SECURITIES, INCORPORATED DATE OF NAME CHANGE: 20041201 FORMER COMPANY: FORMER CONFORMED NAME: CALDWELL SECURITIES INC /BD DATE OF NAME CHANGE: 19820422 MA-I/A 1 primary_doc.xml MA-I/A 0000702007 XXXXXXXX Christopher Anderson 4153674982 christopher.anderson@cald.com joe@cald.com Y N Frank Joseph Soriano 000831248 N 1 0000702007 CALDWELL SUTTER CAPITAL, INC. 07-12-2017 N 08-08-2017 0000702007 LOCATED SUPERVISED 08-15-2017 30 LIBERTY SHIP WAY #3225 SAUSALITO CA 94965-3324 07-2017 Caldwell Sutter Capital, Inc. Sausalito CA 94965 Y Y Managing Director 09-1992 08-2017 Sutter Securities Incorporated San Francisco CA 94104 Y Y President 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 Y N N N N N N N N N N Y 10-26-2017 /Joseph F. Helmer/ President Frank Joseph Soriano 000831248 1721181 6M Frank Joseph Soriano 000831248 255582 6I(1)(b)