Unclaimed Profile

Kathleen Reilly Helmer

CALDWELL SUTTER CAPITAL, INC.·SAUSALITO, California

SIE, Series 7, Series 24, Series 63, Series 99TOClean recordCALDWELL SUTTER CAPITAL, INC.

30 LIBERTY SHIP WAY #3225, SAUSALITO, CA 94965CRD# 6613066Firm CRD# 10489

Profile Verification

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

Identity

Kathleen Reilly Helmer · SAUSALITO, CA

Registration

CRD #6613066 · CALDWELL SUTTER CAPITAL, INC.

Brand Profile

Not yet started

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 63

Series 99TO

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

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Frequently Asked Questions

What services does Kathleen Reilly Helmer offer?

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

What are Kathleen Reilly Helmer's credentials?

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

Where is Kathleen Reilly Helmer located?

Kathleen Reilly 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 Kathleen Reilly Helmer charge for services?

Kathleen Reilly 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.

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