Edward Tobias Smith

Caldwell Sutter Capital, INC.

18 Years of Experience

Broker

View SEC Summary

Areas of Practice

Investment ManagementFinancial Planning & CoachingRetirement PlanningEstate PlanningHigh Net Worth

Caldwell Sutter Capital, INC.

Compensation

Commission-BasedFee-Only (AUM)

Firm Size

7 advisors

Number of Clients

533 clients

Average Client Portfolio

$1.1M average

Assets Under Management

$571.1M

Fee Structure

Minimum Investment:$250K

Location

30 Liberty Ship Way, #3225, Sausalito, CA, 94965

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History

Regulatory History

Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

Employment History

Current Registrations

Caldwell Sutter Capital, INC.

July 2020 - Present · 5 yrs 7 mos

Caldwell Sutter Capital, INC.Broker

September 2018 - Present · 7 yrs 5 mos

Previous Registrations

Wealthfront Brokerage CorporationBroker

October 2011 - April 2012 · 6 mos

Cheevers & Company INC.Broker

June 2008 - December 2009 · 1 yr 6 mos

Rubicon Global Investments, LLCBroker

November 2005 - December 2009 · 4 yrs 1 mo

Banc One Capital Markets, INC.Broker

August 2001 - August 2002 · 1 yr

Banc One Brokerage International CorporationBroker

March 1997 - September 2001 · 4 yrs 6 mos

MML Investors Services, INC.Broker

April 1990 - May 1991 · 1 yr 1 mo

Investment Management & Research, INCBroker

December 1989 - April 1990 · 4 mos

State Registrations8 states

CAMDMINCNYPARIWA

AdvisorBrokerBoth

Exams

No exam information available for this advisor.