Branch offices
13 offices
FINRA: Small firm
Data sourced from FINRA BrokerCheck public records. Disclosures reflect reported events, not proven violations. Verify at BrokerCheck ↗
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.
- Grade B
- Safety grade
- 13
- branch offices
- 1
- disclosure
- #3,590 of 20,055
- disclosure rank · graded
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
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
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 reflect events reported on FINRA BrokerCheck. Disclosures are reported events, not proven violations. Verify at BrokerCheck ↗
Disclosure category share
Regulatory 1 Arbitration 0 Civil 0
Disclosure Profile
Caldwell Sutter Capital, Inc.'s disclosure record, broken down by category and footprint.
Disclosures per office
0.08
Light load
Regulatory share
100%
of total disclosures
Size class
Regional firm
13 branches
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- Sausalito, CA
- CRD Number
- 10489
Verify at FINRA BrokerCheck
FINRA BrokerCheck provides the full official disciplinary record, including individual registered advisors. Always verify before hiring a financial advisor.
View on FINRA BrokerCheck ↗What the Record Says About Caldwell Sutter Capital, Inc.
Caldwell Sutter Capital, Inc. (broker-dealer, CRD# 10489 · Sausalito, CA) operates 13 branch offices - a regional firm (FINRA: small), scope ACTIVE.
BrokerCheck shows 1 disclosure as of July 2026 (about 0.08 per branch office): 1 regulatory, 0 arbitration, 0 civil. Letter grade B (4/5 internal scoring). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Every firm registered with FINRA or the SEC must report regulatory actions, customer complaints, arbitrations, and civil judicial events on its public BrokerCheck and Form ADV records. A disclosure is not automatically a finding of wrongdoing, it can range from a settled customer dispute to a formal regulatory sanction, but a heavy disclosure load relative to a firm's size is a signal worth examining before you hire. Because larger firms naturally accumulate more disclosures across more offices, PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Read each disclosure's underlying detail on the official record rather than relying on the headline number alone. Registration itself confirms only that a firm is authorized to do business, not that its compliance history is clean.
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.
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Read our methodology - how this data is sourced, computed, and verified.
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Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records. See our methodology for details. Retrieved and formatted by PlainAdvisorCheck
Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This firm's record is rendered directly from FINRA BrokerCheck and SEC EDGAR 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.