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)