0000702007-23-000005.txt : 20230427 0000702007-23-000005.hdr.sgml : 20230427 20230427165507 ACCESSION NUMBER: 0000702007-23-000005 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 FRANK,JOSEPH,SORIANO, FILED AS OF DATE: 20230427 DATE AS OF CHANGE: 20230427 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: 23858123 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 N 0000702007-17-000010 Y Joseph Soriano Frank 831248 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 04-27-2023 /Christopher Anderson/ Chief Compliance Officer Frank Joseph Soriano 831248 1721181 6M Frank Joseph Soriano 831248 255582 6I(1)(b)