Unclaimed Profile

Joseph Francis Helmer

CALDWELL SUTTER CAPITAL, INC.·SAUSALITO, California

SIE, Series 4, Series 7, Series 24, Series 52TO, Series 55, Series 57TO, Series 63, Series 65, Series 79, Series 99TOClean record16 years registeredCALDWELL SUTTER CAPITAL, INC.

30 LIBERTY SHIP WAY #3225, SAUSALITO, CA 94965CRD# 1860949Firm CRD# 10489

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Joseph Francis Helmer · SAUSALITO, CA

Registration

CRD #1860949 · CALDWELL SUTTER CAPITAL, INC. · 16 years registered

Brand Profile

Not yet started

Career History

CALDWELL SUTTER CAPITAL, INC.

Jul 2024 – present

CALDWELL SUTTER CAPITAL, INC.

Nov 2009 – Jan 2024

Dublin, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 4

Series 7

Series 24

Series 52TO

Series 55

Series 57TO

Series 63

Series 65

Series 79

Series 99TO

Registration record

First registered · November 19, 2009

Years registered · 16

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

CALDWELL SUTTER CAPITAL, INC.

CRD 10489 · SEC 801-66098

AUM

$571M

Regulatory assets under management

Employees

1,225 client accounts

Services offered by CALDWELL SUTTER CAPITAL, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at CALDWELL SUTTER CAPITAL, INC. →

Introduction

Speak with Joseph Francis

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Joseph Francis is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in SAUSALITO?

Browse all registered financial advisors in SAUSALITO, California or claim this profile if it's yours.

Browse SAUSALITO Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does Joseph Francis Helmer offer?

Joseph Francis Helmer specializes in Financial Planning, Investment Management. Contact their office in SAUSALITO, California for a consultation.

What are Joseph Francis Helmer's credentials?

Joseph Francis Helmer is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Joseph Francis Helmer located?

Joseph Francis Helmer is based in SAUSALITO, California, working with CALDWELL SUTTER CAPITAL, INC.. Their office serves clients in the SAUSALITO metropolitan area and surrounding communities.

How does Joseph Francis Helmer charge for services?

Joseph Francis Helmer's firm is compensated through percentage of aum, commissions. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is CALDWELL SUTTER CAPITAL, INC.?

CALDWELL SUTTER CAPITAL, INC. has approximately 20 employees and manages $571M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →