0000702007-17-000005.txt : 20170713 0000702007-17-000005.hdr.sgml : 20170713 20170712193408 ACCESSION NUMBER: 0000702007-17-000005 CONFORMED SUBMISSION TYPE: D PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b FILED AS OF DATE: 20170713 DATE AS OF CHANGE: 20170712 EFFECTIVENESS DATE: 20170713 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CALDWELL SECURITIES, INC CENTRAL INDEX KEY: 0000702007 IRS NUMBER: 942799654 STATE OF INCORPORATION: CA FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: D SEC ACT: 1933 Act SEC FILE NUMBER: 021-290582 FILM NUMBER: 17962479 BUSINESS ADDRESS: STREET 1: 30 LIBERTY SHIP WAY #3225 CITY: SAUSALITO STATE: CA ZIP: 94965-3324 BUSINESS PHONE: 415-367-4981 MAIL ADDRESS: STREET 1: PO BOX 190 CITY: SAUSALITO STATE: CA ZIP: 94966-0190 FORMER COMPANY: FORMER CONFORMED NAME: CALDWELL SECURITIES, INCORPORATED DATE OF NAME CHANGE: 20041201 FORMER COMPANY: FORMER CONFORMED NAME: CALDWELL SECURITIES INC /BD DATE OF NAME CHANGE: 19820422 D 1 primary_doc.xml X0707 D LIVE 0000702007 CALDWELL SECURITIES, INC 30 LIBERTY SHIP WAY #3225 SAUSALITO CA CALIFORNIA 94965-3324 415-367-4981 CALIFORNIA CALDWELL SECURITIES INC /BD CALDWELL SECURITIES, INCORPORATED CALDWELL SECURITIES INC /BD Corporation true Joseph Francis Helmer 30 Liberty Ship Way #3225 Sausalito CA CALIFORNIA 94965-3324 Executive Officer John Caldwell Helmer 225 Pebble Court Alamo CA CALIFORNIA 94507 Director Investing $1,000,001 - $5,000,000 06b false 2017-07-06 false true false 0 4500 2000 2500 false 3 0 0 0 false CALDWELL SECURITIES, INC /Joseph F. Helmer/ Joseph F. Helmer President 2017-07-12