# EDGAR Filing Document

**Accession Number:** 0000702007
**File Stem:** 0000702007-25-000011
**Filing Date:** 2025-12
**Character Count:** 2773
**Document Hash:** 40104c82c125d86384dc9f3dd11c370d
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000702007-25-000011.hdr.sgml**: 20251229

**ACCESSION NUMBER**: 0000702007-25-000011

**CONFORMED SUBMISSION TYPE**: X-17A-5

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20250930

**FILED AS OF DATE**: 20251229

**DATE AS OF CHANGE**: 20251229

**EFFECTIVENESS DATE**: 20251229

**PERIOD START**: 20241001

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** CALDWELL SUTTER CAPITAL, INC.
- **CENTRAL INDEX KEY:** 0000702007

**ORGANIZATION NAME:**
- **EIN:** 942799654
- **STATE OF INCORPORATION:** CA
- **FISCAL YEAR END:** 0930

**FILING VALUES:**
- **FORM TYPE:** X-17A-5
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 008-27639
- **FILM NUMBER:** 251602724

**BUSINESS ADDRESS:**
- **STREET 1:** 30 LIBERTY SHIP WAY #3225
- **CITY:** SAUSALITO
- **STATE:** CA
- **ZIP:** 94965-3324
- **BUSINESS PHONE:** 415-367-4981

**MAIL ADDRESS:**
- **STREET 1:** PO BOX 190
- **CITY:** SAUSALITO
- **STATE:** CA
- **ZIP:** 94966-0190

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** CALDWELL SECURITIES, INC
- **DATE OF NAME CHANGE:** 20100708

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** CALDWELL SECURITIES, INCORPORATED
- **DATE OF NAME CHANGE:** 20041201

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** CALDWELL SECURITIES INC                                 /BD
- **DATE OF NAME CHANGE:** 19820422

### Attached PDF Documents

**Attachment 1:** `PublicReport.pdf`

_No text found in this document._

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM X-17A-5

### ANNUAL AUDITED REPORT

### Filer Information

**Filer CIK:** 0000702007

**Filer CCC:** XXXXXXXX

**Is this a LIVE or TEST filing?:** LIVE

**Would you like a Return Copy?:** No

### Submission Information

**Report Period Begin Date:** 10-01-2024

**Report Period End Date:** 09-30-2025

**Type of Registrant:** Broker-dealer

**Any material weaknesses identified?:** No

### Registrant Identification

**Name of Broker-Dealer:** CALDWELL SUTTER CAPITAL, INC.

**Business Address:** 30 LIBERTY SHIP WAY #3225, SAUSALITO, CA, 94965-3324

**Contact Person:** Christopher Anderson

**Contact Phone:** (415) 367-4982

### Independent Public Accountant Identification

**Accountant Name:** Ernst Wintter & Associates

**Accountant Address:** 675 Ygnacio Valley Road, Suite A200, Walnut Creek, CA, 94596

**Accountant Type:** Certified Public Accountant

### OATH OR AFFIRMATION

I, **Joseph F. Helmer**, swear (or affirm) that, to the best of my knowledge and belief, the accompanying financial statements and supporting schedules pertaining to the firm of **CALDWELL SUTTER CAPITAL, INC.**, as of **09-30-2025**, are true and correct.

**Signature:** /Joseph F. Helmer/

**Title:** President

**Notarized:** Yes