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30 Liberty Ship Way #3225, Sausalito, CA 94965 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-12-11 |
| CA | RA | APPROVED | 2023-03-02 |
Branch Locations
30 Liberty Ship Way #3225, Sausalito, CA 94965-3324 • UNITED STATES
3562 Roundbarn Circle Ste 310, Santa Rosa, CA 95403 • United States
30 Liberty Ship Way #3225, Sausalito, CA 94965 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Edward Jones | St. Louis | MO | 11/2008 | 07/2019 |
| Nbc Securities, Inc. | Santa Rosa | CA | 07/2019 | 02/2023 |
| Caldwell Sutter Capital, Inc. | Sausalito | CA | 02/2023 | Present |
Gregory Harder is self-employed working as a life insurance agent (CA Insurance License #0F70736), which is not investment related. Located at 3562 Roundbarn Circle #310, Santa Rosa, CA 95403. 5 hours per month are dedicated to this, none during trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-01-16 |
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