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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 |
|---|---|---|---|---|
| Umpqua Investments, Inc. | Napa | CA | 09/2009 | 10/2016 |
| Caldwell Sutter Capital, Inc. | Sausalito | CA | 02/2023 | Present |
| Nbc Securities, Inc. | Santa Rosa | CA | 10/2016 | 02/2023 |
Santa Rosa Junior College Foundation; 707 Elliot Ave, Santa Rosa, CA 95401; Non-Investment Related; August 2023; Non-profit endowment for Santa Rosa Junior College; Acting as a director appointed to the investment committee; Spends 8 hours per month and 3-4 hours per month during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-11-24 |
| S63 | Uniform Securities Agent State Law Examination | 1998-11-19 |
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