Full text of CALDWELL SUTTER CAPITAL, INC.'s X-17A-5 filed 2024-12-20 (period 2024-09-30). 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, 2024** ### **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: ϯϮϯϱͲϬϭϮϯ Expires: EŽǀ͘ϯϬ͕ϮϬϮϲ Estimated average burden hours per response: ## **ANNUAL REPORTS FORM X-17A-5 PART III** 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 _____________________ AND ENDING ______________________ | 10/01/23 | | | 09/30/24 | | | | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------|------|---------------------------------------|--------------------------------------------|--|--|--| | | MM/DD/YY | | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | Caldwell Sutter Capital, Inc.<br>NAME OF FIRM: _______________________________________________________________________ | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>܆<br>܆<br>Broker-dealer<br>Security-based swap dealer<br>܆ Check here if respondent is also an OTC derivatives dealer | ܆ | | Major security-based swap participant | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | | 30 Liberty Ship Way, Suite #3225<br>_____________________________________________________________________________________ | | | | | | | | | | (No. and Street) | | | | | | | | Sausalito<br>_____________________________________________________________________________________ | California | | 94965-3324 | | | | | | (City) | (State) | | | (Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | Joseph F. Helmer | (415) 962-2526<br>joe@cald.com<br>_____________________________________________________________________________________ | | | | | | | | (Name) | (Area Code – Telephone Number) | | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*…Read the full text as markdown