CRD #10489 · FINRA BrokerCheck + SEC IAPD

Caldwell Sutter Capital, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Caldwell Sutter Capital, Inc. ranks #3,590 of 20,055 by disclosure count (most disclosures first). Among firms registered in CA, it ranks #58 of 279 on the same disclosure sort used on the state browse page. Caldwell Sutter Capital, Inc. carries 1 BrokerCheck disclosure across 13 branch offices - light load for a regional firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
13
branch offices
1
disclosure
#3,590 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 10489 Caldwell Sutter Capital, Inc.

Caldwell Sutter Capital, Inc. · Grade B · 1 disc · 0.08/office · Regional firm

  • CRD 10489
  • GRADE B
  • DISC 1
  • REG 1
  • ARB 0
  • CIV 0
  • BRANCH 13
  • PER-OFF 0.08
  • RANK #3,590 of 20,055
  • BOOK Regional firm

Intensity peers

Nearest same-size peer: Harris Williams (0.08 disc/office)

Harris Williams0.08MFS Fund Distributors, …0.08Moelis & Company LLC0.08Caldwell Sutter Cap… (this)0.08
Disclosures per office among regional firm peers (lower is cleaner)

Caldwell Sutter Capital, Inc. ranks #3,590 of 20,055 by disclosure count among graded broker-dealers; light load at 0.08 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

13 offices

FINRA: Small firm

Total disclosures

1 event

On FINRA BrokerCheck

Regulatory events

1 action

100% of all disclosures

Disclosures per office

0.08 per office

1 ÷ 13 offices

Caldwell Sutter Capital, Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 89% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 1
Arbitrations 0
Civil Events 0
Total 1

Counts for Caldwell Sutter Capital, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 1 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Sausalito, CA
CRD Number
10489

Regulator-heavy mix

Caldwell Sutter Capital, Inc. in the heavier-disclosure third

Caldwell Sutter Capital, Inc. carries 1 BrokerCheck disclosure across 13 branch offices - a heavier-third raw book among graded firms (#3,590 of 20,055). Regulator-initiated events are 100% of the book (1 regulatory / 0 arbitration / 0 civil).

100% of Caldwell Sutter Capital, Inc.'s 1 disclosures are regulator-initiated (1 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Caldwell Sutter Capital, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

California cohort · 0.49× state average

Caldwell Sutter Capital, Inc. tracks near the California disclosure average

Caldwell Sutter Capital, Inc. reports 1 BrokerCheck disclosure, about 0.49× the California average of 2.1 across 279 graded firms.

In California, 189 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the California state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Caldwell Sutter Capital, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Caldwell Sutter Capital, Inc. ranks #3,590 of 20,055 by disclosure count (most disclosures first). Among firms registered in CA, it ranks #58 of 279 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for Caldwell Sutter Capital, Inc.?
A grade of B reflects Caldwell Sutter Capital, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (regional firm). It carries 1 total disclosure across 13 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Caldwell Sutter Capital, Inc. have?
Caldwell Sutter Capital, Inc. has 1 total FINRA disclosure, including 1 regulatory event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Caldwell Sutter Capital, Inc.?
Caldwell Sutter Capital, Inc. operates 13 branch offices and is classified by FINRA as a small firm, registered in CA (Regional firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Caldwell Sutter Capital, Inc.'s disciplinary record?
You can verify Caldwell Sutter Capital, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 10489. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid Caldwell Sutter Capital, Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Caldwell Sutter Capital, Inc. carries 1 disclosure across 13 branch offices (about 0.08 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Caldwell Sutter Capital, Inc., both outside CA so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Harris Williams (VA) - 0.08 disclosures/office, nearest regional firm peer to Caldwell Sutter Capital, Inc.'s 0.08
  • MFS Fund Distributors, Inc. (MA) - 0.08 disclosures/office, nearest regional firm peer to Caldwell Sutter Capital, Inc.'s 0.08
  • Moelis & Company LLC (NY) - 0.08 disclosures/office, nearest regional firm peer to Caldwell Sutter Capital, Inc.'s 0.08
  • Firms in CA - state roster that includes Caldwell Sutter Capital, Inc.'s registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Caldwell Sutter Capital, Inc..
  • Reading BrokerCheck Reports - How Caldwell Sutter Capital, Inc.'s 0.08 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Caldwell Sutter Capital, Inc..
  • Compare firms - put Caldwell Sutter Capital, Inc. next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.

Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.