Director, Trustee · Caldwell Sutter Capital, Inc.
Kathleen Reilly Helmer
CRD 6613066 · 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 Kathleen Reilly Helmer on its Form ADV as Director, Trustee, a control person.
Firms and roles
- Caldwell Sutter Capital, Inc.Director, TrusteeBroker-dealer firm · Sausalito, CA · $606M in regulatory assets
AtlasMembers
Kathleen’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)
- John Caldwell HelmerFounder, Trustee, Caldwell Sutter Capital, Inc.
- 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.
1 more person named with Kathleen 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 Kathleen’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.