President, Co-Trustee · Caldwell Sutter Capital, Inc.
Joseph Francis Helmer
CRD 1860949 · 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 Joseph Francis Helmer on its Form ADV as President, Co-Trustee, a control person.
Firms and roles
- Caldwell Sutter Capital, Inc.President, Co-TrusteeBroker-dealer firm · Sausalito, CA · $606M in regulatory assets
AtlasMembers
Joseph’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
- Locked
- Control-person status
- 1 firmLocked
- When each role began
- Locked
- Each firm’s assets and growth
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- Search and export owners by title, state and firm size
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SEC adviser record
- Registered since
- 2009 (16 years)
- Designations
- None on file
- Exams
- Series 63, Series 65
- Registered in
- 1 state
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
Joseph’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- Locked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings (6)
- John Caldwell HelmerFounder, Trustee, Caldwell Sutter Capital, Inc.
- Christopher William AndersonChief Compliance Officer, 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 Joseph 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 Joseph’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.