Managing Director · Caldwell Sutter Capital, Inc.
Mari Allen
CRD 1705748 · 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 Mari Allen on its Form ADV as Managing Director.
Firms and roles
- Caldwell Sutter Capital, Inc.Managing DirectorBroker-dealer firm · Sausalito, CA · $606M in regulatory assets
AtlasMembers
Mari’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
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- When each role began
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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.
- Susan Diane MetcalfManaging Director, Caldwell Sutter Capital, Inc.
- Joseph Michael DucoteSenior Managing Director, Caldwell Sutter Capital, Inc.
1 more person named with Mari 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 Mari’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.