Unclaimed Profile

Joseph Michael Ducote

CALDWELL SUTTER CAPITAL, INC.·SAUSALITO, California

SIE, Series 1, Series 7TO, Series 24, Series 40, Series 52TO, Series 53, Series 63, Series 79TOCALDWELL SUTTER CAPITAL, INC.

30 LIBERTY SHIP WAY #3225, SAUSALITO, CA 94965CRD# 72548Firm CRD# 10489

Profile Verification

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

Identity

Joseph Michael Ducote · SAUSALITO, CA

Registration

CRD #72548 · CALDWELL SUTTER CAPITAL, INC.

Brand Profile

Not yet started

Registrations & Exams

FINRA examinations passed

SIE

Series 1

Series 7TO

Series 24

Series 40

Series 52TO

Series 53

Series 63

Series 79TO

Disclosure History

Verify on FINRA BrokerCheck →

Source: SEC IAPD. Resolutions may have changed since.

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 Michael

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

Not sure if Joseph Michael 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 Michael Ducote offer?

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

What are Joseph Michael Ducote's credentials?

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

Where is Joseph Michael Ducote located?

Joseph Michael Ducote 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 Michael Ducote charge for services?

Joseph Michael Ducote'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 →