SM
Susan D. Metcalf
CALDWELL SUTTER CAPITAL
Sweet, ID
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CRD#: 1547365
SM
Professional summary
Susan Diane Metcalf, who also goes by Susan Herr, Susan Herr Metcalf, Susan Herr Pealy, is a registered financial advisor currently at CALDWELL SUTTER CAPITAL, INC. located in Sweet, Idaho.
Susan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Susan has worked at 5 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 53, Series 24, Series 4 and Series 27 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Susan Herr | Susan Herr Metcalf | Susan Herr Pealy
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Susan Diane Metcalf's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Susan Diane Metcalf's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 1, 2018 - Present
CALDWELL SUTTER CAPITAL, INC.
RIA
BD
CRD#: 10489
Sweet, ID
Current
July 7, 2017 - Present
CALDWELL SUTTER CAPITAL, INC.
RIA
BD
CRD#: 10489
Sweet, ID
Past
November 5, 2010 - July 31, 2017
SUTTER SECURITIES INCORPORATED
BD
CRD#: 30770
SEATTLE, WA
Past
May 4, 1998 - November 19, 2010
MORTON CLARKE INC.
RIA
CRD#: 37182
SEATTLE, WA
Past
February 1, 1995 - November 19, 2010
MORTON CLARKE INC.
BD
CRD#: 37182
SEATTLE, WA
Past
January 28, 1995 - April 18, 1995
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
August 21, 1986 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CS
CALDWELL SUTTER CAPITAL, INC.
CALDWELL SECURITIES, INC | CALDWELL SUTTER CAPITAL, INC. | CALDWELL SECURITIES, INCORPORATED | CALDWELL SECURITIES, INC.
CRD#: 10489 / SEC#: 801-66098, 8-27639
RIA
Registered Investment Advisory firm - SEC (2/8/2006 Approved)California
Registered Investment Advisory firm - SEC (2/10/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(7/28/2017)
RR
Colorado(7/28/2017)
RR
Georgia(11/18/2021)
RR
Idaho(7/7/2017)
IAR
Idaho(12/11/2023)
RR
Oregon(7/31/2017)
RR
Texas(3/3/2022)
RR
Washington(7/28/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CALDWELL SUTTER CAPITAL, INC.
CALDWELL SECURITIES, INC | CALDWELL SUTTER CAPITAL, INC. | CALDWELL SECURITIES, INCORPORATED | CALDWELL SECURITIES, INC.
CRD#: 10489 / SEC#: 801-66098, 8-27639
RIA
Registered Investment Advisory firm - SEC (2/8/2006 Approved)California
Registered Investment Advisory firm - SEC (2/10/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information
Main Address
30 Liberty Ship Way #3225, Sausalito, CA 94965
Mailing Address
Po Box 190, Sausalito, CA 94966-0190
Phone number
(415) 962-2526
Established
California since 02/16/1982
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees
17
SEC notice filing (11 States and Territories)
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE HELMER FAMILY TRUST DATED 3/8/2022 | SHAREHOLDER | |
| JOHN AND JINX HELMER REVOCABLE TRUST DATED JANUARY 4, 2005 | SHAREHOLDER | |
| ALLEN, MARI | MANAGING DIRECTOR | 1705748 |
| ANDERSON, CHRISTOPHER WILLIAM | CHIEF FINANCIAL OFFICER | 5085595 |
| ANDERSON, CHRISTOPHER WILLIAM | FINANCIAL AND OPERATIONS PRINCIPAL | 5085595 |
| ANDERSON, CHRISTOPHER WILLIAM | CHIEF COMPLIANCE OFFICER | 5085595 |
| DUCOTE, JOSEPH MICHAEL | SENIOR MANAGING DIRECTOR | 72548 |
| HELMER, JOHN CALDWELL | FOUNDER, TRUSTEE | 242398 |
| HELMER, JOSEPH FRANCIS | PRESIDENT, CO-TRUSTEE | 1860949 |
| HELMER, KATHLEEN REILLY | DIRECTOR, TRUSTEE | 6613066 |
| METCALF, SUSAN DIANE | MANAGING DIRECTOR | 1547365 |
Regulatory assets under management
| Total Number of Accounts | 1,249 |
| AUM (Assets Under Management) | $ 605,675,350 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/10/2025 | ||
| 03/25/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
