Joseph Francis Helmer

Current Employers

Caldwell Sutter Capital, Inc.

30 Liberty Ship Way #3225, Sausalito, CA 94965 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2009-11-19

CA RA
APPROVED

Since 2009-11-19

Branch Locations

Altadena, CA • United States

Newhall, CA • United States

30 Liberty Ship Way #3225, Sausalito, CA 94965 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Caldwell Sutter Capital, Inc.	Sausalito	CA	04/2008	Present

04/2008 → Present

Caldwell Sutter Capital, Inc.

Sausalito, CA

Other Businesses

I AM COMPENSATED BY BEING A DIRECTOR OF CRAZY WOMAN CREEK BANCORP, THE BANK HOLDING COMPANY OF BUFFALO FEDERAL BANK IN BUFFALO, WYMOING. I BECAME A DIRECTOR IN JANUARY 2015. I DEDICATE 10-15 HOURS PER MONTH ON THIS OUTSIDE OF TRADING HOURS. AS A BOARD MEMBER, I SERVE ON THE AUDIT COMMITTEE.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2009-11-17
S63	Uniform Securities Agent State Law Examination	2004-05-19

S65 Uniform Investment Adviser Law Examination

2009-11-17
S63 Uniform Securities Agent State Law Examination

2004-05-19