Caldwell Sutter Capital, Inc.

Overview

Caldwell Sutter Capital, Inc. is a Broker Dealer and registered investment adviser based in Sausalito, CA, registered since 1982. It reports $606M in assets under management across 1,249 accounts, with 17 employees. Its 19 registered representatives work across 9 branch offices in 6 states.

Reported AUM

$606M

Discretionary

95%

Accounts

1,249

Average account

$485K

Employees

17

Registered reps

19

Branch offices

9

Registered since

1982

As reported in the firm's April 2026 filing.

Contact

1 phone number on file

Practice

Services

• Financial Planning
• Individuals or Small Business

Client types

• Corporations/Businesses
• High Net Worth Individuals
• Individuals
• Pension/Profit Sharing Plan

Fee structure

Percentage of Assets

Products and services

• Corporate Bonds
• Insurance
• Investment Advisory Services
• Municipal Securities Broker
• Municipal Securities Dealer
• Mutual Fund/Retailer
• Mutual Funds
• Non-Enchange Member Transactions
• Other
• Private Placements
• Retirement/Pension Products
• Stock
• 4 more

Executive officers 3 of 7

• Joseph Francis Helmer President, Co-Trustee CRD 1860949
• Christopher William Anderson Financial and Operations Principal, Chief Financial Officer, Chief Compliance Officer CRD 5085595
• John Caldwell Helmer Founder, Trustee CRD 242398

4 more executive officers, with direct contact details

Registered reps 3 of 19

• Mari Allen Registered Rep CRD 1705748
• Christopher William Anderson Registered Rep CRD 5085595
• Christopher Robert Bovich Registered Rep CRD 828906

16 more registered reps, with emails, phones and branch locations

Location

Headquarters

30 Liberty Ship Way Ste 3225
Sausalito, CA 94965

County

Marin

Metro area

San Francisco-Oakland-Berkeley, CA

Region

West

Branch offices

9 in 6 states, including Austin, TX, Deer Park, NY and Altadena, CA

Registrations

• SEC registered, corporation formed in California
• Registered in 46 jurisdictions
• Website: cald.com

Every state, with registration dates

Similar firms near Sausalito

• Montrose Securities InternationalSausalito, CA2 reps
• Polygon Capital Advisors, LLCSausalito, CA2 reps
• Strategic Marketing Solutions Ltd., LLCSausalito, CA1 reps
• Franklin Distributors, LLCSan Mateo, CA768 reps
• Btig, LLCSan Francisco, CA524 reps