Founder, Trustee · Caldwell Sutter Capital, Inc.
John Caldwell Helmer
CRD 242398 · Named on Form ADV at one SEC-registered adviser
At a glance
Caldwell Sutter Capital, Inc., an SEC-registered broker-dealer firm based in Sausalito, CA with $606 million in regulatory assets, lists John Caldwell Helmer on its Form ADV as Founder, Trustee, a control person.
Firms and roles
- Caldwell Sutter Capital, Inc.Founder, TrusteeBroker-dealer firm · Sausalito, CA · $606M in regulatory assets
AtlasMembers
John’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
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- Control-person status
- 1 firmLocked
- When each role began
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- Each firm’s assets and growth
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Colleagues named on the same filings (6)
- Christopher William AndersonChief Compliance Officer, Caldwell Sutter Capital, Inc.
- Joseph Francis HelmerPresident, Co-Trustee, Caldwell Sutter Capital, Inc.
- Mari AllenManaging Director, Caldwell Sutter Capital, Inc.
- Susan Diane MetcalfManaging Director, Caldwell Sutter Capital, Inc.
- Joseph Michael DucoteSenior Managing Director, Caldwell Sutter Capital, Inc.
1 more person named with John on the same filings, with titles and firms. Free in Atlas with a free account.
See all 6 freeSomething wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For John’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.