# EDGAR Filing Document

**Accession Number:** 0000702007
**File Stem:** 0000702007-26-000005
**Filing Date:** 2026-5
**Character Count:** 12000
**Document Hash:** 0dafe6ad338719176e24e8802bc500a9
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000702007-26-000005.hdr.sgml**: 20260601

**ACCESSION NUMBER**: 0000702007-26-000005

**CONFORMED SUBMISSION TYPE**: MA

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20260501

**DATE AS OF CHANGE**: 20260601

**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:** MA
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-02278
- **FILM NUMBER:** 261046948

**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

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

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0000702007

**Filer CCC:** XXXXXXXX

**Contact Name:** Christopher Anderson

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

**Contact Email:** christopher.anderson@cald.com

**Notification Emails:** joe@cald.com, holly@cald.com

### Type of Filing

**Selected Filing Type:** Initial Application

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** CALDWELL SUTTER CAPITAL, INC.

**&nbsp;&nbsp;&nbsp;Organization CRD No.:** 10489

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** No

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** No

**C. IRS Employer Identification Number:** 94-2799654

**D. Registrations:**

- **Broker-Dealer:** SEC File No: 008-27639, CRD No: 10489

- **SEC-Registered Investment Adviser:** SEC File No: 801-66098, CRD No: 10489

**E. Principal Office and Place of Business:** 30 LIBERTY SHIP WAY, STE 3225, SAUSALITO, CA, 94965-3324

**Telephone Number:** 415-962-2526

**Mailing Address is Different from Principal Office:** Yes

**Mailing Address:** PO BOX 190, SAUSALITO, CA, 94966-0190

**F. Website:** www.cald.com

**G. Chief Compliance Officer (CCO):**

**Name:** Christopher William Anderson

**Address:** 30 Liberty Ship Way, Ste 3225, Sausalito, CA, 94965-3324

**Phone Number:** 415-367-4982

**Email:** christopher.anderson@cald.com

**I. Location of Books and Records:** Yes

### Item 2: Form of Organization

**A. Applicant's form of organization:** Corporation

**B. Month of Applicant's Annual Fiscal Year End:** September

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** CA

**D. Date of Organization:** 02-16-1982

**E. Is the applicant a public reporting company?:** No

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 21

**B. Municipal Advisory Activities - Employees:** 1

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 1

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 0

**D. Public Relations Company?:** No

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 0

**F. Types of Clients - Number of clients served as municipal advisor:** 0

**&nbsp;&nbsp;&nbsp;Types of Clients:** Municipal Entities

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 0

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 0

**&nbsp;&nbsp;&nbsp;Total Solicited:** 0

**H. Types of Persons Solicited:** 
Not Applicable
, Not Applicable

**I. Compensation Arrangements (Municipal Advisory):** 
Fixed Fees
Contingent Fees
, Fixed Fees, Contingent Fees

**J. Compensation Arrangements (Solicitation):** 
Not Applicable
, Not Applicable

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** No

**L. Applicant Business Relating to Municipal Securities:** Advice Insurance Of MS

### Item 5: Other Business Activities

- **Broker-Dealer:** Actively Engaged: Yes, Primary Business: —

- **Insurance:** Actively Engaged: Yes, Primary Business: —

- **Investment Advisor:** Actively Engaged: Yes, Primary Business: —

**Is applicant engaged in any other non-municipal advisor business?** No

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** 

**Total Associated Persons:** 0

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** No

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** No

- **Enter into derivatives transactions with clients for the firm's own account?:** No

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** No

- **Recommend to clients products/services of an affiliated person?:** No

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** No

- **Have discretionary authority to buy/sell municipal securities for clients?:** No

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** No

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** No

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** No

- **Recommend broker-dealers to clients?:** No

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** —

- **Compensate any person for client referrals?:** No

- **Receive compensation from any person for client referrals?:** No

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** No

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** No

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** No

- **Applicant/Advisory Affiliate Charged with Felony?:** No

- **Organization Convicted/Pled Guilty to Felony?:** No

- **Organization Charged with Felony?:** No

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** No

- **SEC/CFTC Found Violation?:** No

- **SEC/CFTC Found Cause of Denial/Suspension?:** No

- **SEC/CFTC Entered Order?:** No

- **SEC/CFTC Imposed Civil Penalty?:** No

- **SRO Found Unethical Conduct?:** No

- **SRO Found Violation?:** Yes

- **SRO Found Cause of Denial/Suspension?:** No

- **SRO Barred/Suspended/Fined > $2,500?:** No

- **SRO Denied/Suspended/Revoked Registration?:** No

- **Foreign Authority Found False Statement?:** No

- **Foreign Authority Found Violation?:** No

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** No

- **Authorization to Act as Attorney/Accountant Revoked?:** No

- **Subject of a Regulatory Complaint?:** No

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** No

- **Found to Have Violated Regulations?:** No

- **Civil Proceeding Dismissed Pursuant to Settlement?:** No

- **Named in Civil Proceeding Alleging Violation?:** No

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** No

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** No

### Schedule A: Direct Owners and Executive Officers

| Name                                                       | Title/Status                                                                          | Date Acquired   | Ownership Code            | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|
| John and Jinx Helmer Revocable Trust dated January 4, 2025 | Shareholder                                                                           | 01-01-2005      | C - 25% but less than 50% | Yes               | 53-4364503   |  |
| The Helmer Family Trust dated 3/8/2022                     | Shareholder                                                                           | 05-01-2025      | D - 50% but less than 75% | Yes               | 54-8311565   |  |
| Kathleen Reilly Helmer                                     | Director                                                                              | 05-01-2022      | NA - less than 5%         | Yes               |  | 6613066      |
| Christopher William Anderson                               | Chief Compliance Officer, Chief Financial Officer, Financial and Operations Principal | 08-01-2006      | NA - less than 5%         | Yes               |  | 5085595      |
| Joseph Michael DuCote                                      | Senior Managing Director                                                              | 10-01-2017      | NA - less than 5%         | No                |  | 72548        |
| Mari Ming Hwa Allen                                        | Managing Director                                                                     | 07-01-2017      | NA - less than 5%         | No                |  | 1705748      |
| Susan Diane Metcalf                                        | Managing Director                                                                     | 07-01-2017      | NA - less than 5%         | No                |  | 1547365      |
| Joseph Francis Helmer                                      | President                                                                             | 08-01-2008      | NA - less than 5%         | Yes               |  | 1860949      |

### Schedule B: Indirect Owners

| Owning Entity                                              | Name                   | Title/Status   | Date Acquired   | Ownership Code                                          | Control Person?   |
|:---|:---|:---|:---|:---|:---|
| The Helmer Family Trust dated 3/8/2022                     | Joseph Francis Helmer  | Trustee        | 05-01-2025      | C - 25% but less than 50%                               | Yes               |
| The Helmer Family Trust dated 3/8/2022                     | Kathleen Reilly Helmer | Trustee        | 05-01-2025      | C - 25% but less than 50%                               | Yes               |
| John and Jinx Revocable Trust dated January 4, 2005        | Joseph Francis Helmer  | Trustee        | 03-01-2021      | F - Other (general partner, trustee, or elected member) | Yes               |
| John and Jinx Helmer Revocable Trust dated January 4, 2005 | John Caldwell Helmer   | Trustee        | 01-01-2005      | F - Other (general partner, trustee, or elected member) | No                |

### Disclosure Reporting Pages (DRPs)

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Caldwell Sutter Capital, Inc.

- **CRD Number:** 10489

- **Disclosure Number:** 148361

### Execution Page

**Signature:** /Christopher W. Anderson/

**Signer Name:** Christopher W. Anderson

**Title:** Chief Compliance Officer

**Date:** 03-20-2026

**CRD Number:** 5085595