CALDWELL SUTTER CAPITAL, INC. of SAUSALITO, CA is an SEC-registered investment adviser (CRD 10489). Regulatory assets under management: $605.7M.
Compensation: % of AUM.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| John Caldwell Helmer | FOUNDER, TRUSTEE; TRUSTEE | — |
| Christopher William Anderson | CHIEF COMPLIANCE OFFICER; CHIEF FINANCIAL OFFICER; FINANCIAL AND OPERATIONS PRINCIPAL | — |
| Joseph Francis Helmer | CO-TRUSTEE; PRESIDENT, CO-TRUSTEE; TRUSTEE | — |
| Mari Allen | MANAGING DIRECTOR | — |
| Susan Diane Metcalf | MANAGING DIRECTOR | — |
| Joseph Michael Ducote | SENIOR MANAGING DIRECTOR | — |
| Kathleen Reilly Helmer | DIRECTOR; DIRECTOR, TRUSTEE; TRUSTEE | — |
| ANDERSON WILLIAM | CHIEF COMPLIANCE OFFICER; CHIEF FINANCIAL OFFICER; FINANCIAL AND OPERATIONS PRINCIPAL | — |
| METCALF SUSAN DIANE | MANAGING DIRECTOR | — |
| HELMER JOHN CALDWELL | CHAIRMAN; CHIEF FINANCIAL OFFICER; FINANCIAL AND OPERATIONS PRINCIPAL (+3 more) | — |
| HELMER MARY DOLORES | CHIEF COMPLIANCE OFFICER; FOUNDER, TRUSTEE; TRUSTEE | — |
| HELMER JOSEPH FRANCIS | CO-TRUSTEE; PRESIDENT; PRESIDENT, CO-TRUSTEE (+1 more) | — |
| ALLEN MARI | MANAGING DIRECTOR | — |
| DUCOTE JOSEPH MICHAEL | SENIOR MANAGING DIRECTOR | — |
| HELMER KATHLEEN REILLY | DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-07-02 | regulatory | JOSEPH DUCOTE WAS TRANSACTING BUSINESS IN MAINE ON BEHALF OF CALDWELL SUTTER CAPITAL WITHOUT BEING LICENSED AS AN AGENT IN THE STATE. | Final | $3K |