Full text of CALDWELL SUTTER CAPITAL, INC.'s X-17A-5 filed 2022-11-28 (period 2022-09-30). 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, 2022 ## PUBLIC DOCUMENT Filed Pursuant to Rule 17-A-5(e)(3) as a Public Document {1}------------------------------------------------ # PUBLIC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 ## ANNUAL REPORTS FORM X-17A-5 PART III | Expires: Oct. 31, 2023 | | |--------------------------|--| | Estimated average burden | | | hours per response: 12 | | | | | SEC FILE NUMBER 8-27639 FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FILING FOR THE PERIOD BEGINNING | 10/01/21 | AND ENDING | 09/30/22 | |----------------------------------------------------------------------------------------------|-----------------------------------------------------------------------|-----------------|--------------------------------------------| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: Caldwell Sutter Capital, Inc. | | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Broker-dealer | _ Security-based swap dealer __ Major security-based swap participant | | | | Check here if respondent is also an OTC derivatives dealer | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 30 Liberty Ship Way, Suite #3225 | | | | | | (No. and Street) | | | | Sausalito | California | | 94965-3324 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Joseph F. Helmer | (415) 962-2526 | joe@cald.com | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. Accountant IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | Ernst Wintter & Associates LLP | | | | | | (Name - if individual, state last, first, and middle name) | | | | 675 Ygnacio Valley Road, Suite A200 | Walnut Creek | California | 94596 | | (Address) | (City) | (State) | (Zip Code) | | February 24, 2009 | | 3438 | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | | FOR OFFICIAL USE ONLY | | | | | | | | | * Claims for exemption from the requirement that the annual reports of an independent public | | | | accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See…Read the full text as markdown