Full text of CALDWELL SUTTER CAPITAL, INC.'s X-17A-5 filed 2021-11-24 (period 2021-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **CALDWELL SUTTER CAPITAL, INC. (SEC ID No. 8-27639)** # **ANNUAL AUDIT REPORT** **SEPTEMBER 30, 2021** # **PUBLIC DOCUMENT** Filed Pursuant to Rule 17-A-5(E)(3) as a Public Document {1}------------------------------------------------  ## UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # ANNUAL AUDITED REPORT FORM X-17A-5 PART III ## FACING PAGE Information required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING | 10/01/20 | AND ENDING | | 09/30/21 | |---------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|------------|------------|------------------------------------------------| | | mm/dd/yy | | mm/dd/yy | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: Caldwell Sutter Capital, Inc.<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | OFFICIAL USE ONLY | | 30 Liberty Ship Way, Suite #3225 | | | | FIRM I.D. NO. | | | (No. and Street) | | | | | Sausalito | California | 94965-3324 | | | | (City) | (State) | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Joseph F. Helmer | | | | 415-962-2526<br>(Area Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose option is contained in this Report*<br>Ernst Wintter & Associates LLP | | | | | | | (Name - if individual, state last, first, middle name) | | | | | 675 Ygnacio Valley Road, Suite A200 | Walnut Creek | California | 94596 | | | (Address) | (City) | (State) | (Zip Code) | | | CHICK ONE: | | | | | | V<br>Certified Public Accountant | | | | | | Public Accountant | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | \*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(e)(2). Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. SEC 1410 (11-05) OMB…Read the full text as markdown