CALDWELL SUTTER CAPITAL, INC. X-17A-5 (2020-11-27) — Broker-dealer annual report

Full text of CALDWELL SUTTER CAPITAL, INC.'s X-17A-5 filed 2020-11-27 (period 2020-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.

• Company: CALDWELL SUTTER CAPITAL, INC.
• Form: X-17A-5
• Filed: 2020-11-27
• Period: 2020-09-30
• Accession: 0000702007-20-000003
• CIK: 702007
• File #: 8-27639
• Material weakness: No
• Auditor: Ernst Wintter & Associates LLP
• Auditor location: Walnut Creek, CA
• Contact: Christopher Anderson
• Phone: 4153674982
• Signed by: Joseph F. Helmer (President)

Document text (excerpt)

X-17A-5 0000702007 XXXXXXXX LIVE false false false 10-01-2019 09-30-2020 Broker-dealer N CALDWELL SUTTER CAPITAL, INC. 30 LIBERTY SHIP WAY #3225 SAUSALITO CA 94965-3324 Christopher Anderson 4153674982 Ernst Wintter & Associates LLP 675 Ygnacio Valley Road, Suite A200 Walnut Creek CA 94596 Certified Public Accountant Joseph F. Helmer CALDWELL SUTTER CAPITAL, INC. 11-25-2020 /Joseph F. Helmer/ President Y

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• X-17A-5 — 2022-11-28
• X-17A-5 — 2021-11-24
• X-17A-5 — 2019-11-27
• X-17A-5 — 2018-12-12
• X-17A-5 — 2017-12-13
• X-17A-5 — 2016-11-29
• X-17A-5 — 2015-12-15
• X-17A-5 — 2014-11-28
• X-17A-5 — 2013-12-02

Original filing on SEC EDGAR (source of record)