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30 Liberty Ship Way #3225, Sausalito, CA 94965 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ID | RA | APPROVED | 2023-12-11 |
Branch Locations
30 Liberty Ship Way #3225, Sausalito, CA 94965 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sutter Securities Inc. | San Francisco | CA | 11/2010 | Present |
| Caldwell Securities, Inc. | Sausalito | CA | 07/2017 | Present |
(1) Managing partner of family partnership that owns and rents ranch property near our home. Requires a few hours/week performing administrative functions, none during market hours; (2) As of January 2022, became Vice President of Letha Irrigation and Water Company, located at 102 N Main St, Payette, ID, which owns and manages water rights for agricultural land. Average of less than one hour per month attending an annual water meeting and a few periodic meetings, none during market hours. Manages water rights/delivery for irrigated ranch land owned by the family partnership described above.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-08-16 |
| S63 | Uniform Securities Agent State Law Examination | 1986-12-15 |
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