Joseph Francis Helmer
CFAProfessional Summary
Joseph Francis Helmer, CFA is a registered financial advisor currently at CALDWELL SUTTER CAPITAL, INC. located in Sausalito, California. Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Joseph has worked at 1 firm and has passed the Series 65, Series 63, Series 52TO, Series 99TO, Series 57TO, SIE, Series 79, Series 55, Series 7, Series 4 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Credentials
Years of Experience
22 years in the financial services industry
Current & Past Employments
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Current Firm
CALDWELL SECURITIES, INC | CALDWELL SUTTER CAPITAL, INC. | CALDWELL SECURITIES, INCORPORATED | CALDWELL SECURITIES, INC.
Contact Information
Main Address
30 Liberty Ship Way #3225, Sausalito, CA 94965Mailing Address
Po Box 190, Sausalito, CA 94966-0190Phone Number
(415) 962-2526Established
California since 02/16/1982Firm Type
CorporationFiscal Year End
SeptemberFirm Size
Small# of Employees
17SEC notice filing (11 States and Territories)
Registered to provide investment advisory services in 11 US states and territories.
FINRA licenses (46 States and Territories)
Registered to provide investment advisory services in 11 US states and territories.
Documents
Part 2 Brochures
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 | CHIEF COMPLIANCE OFFICER | 5085595 |
| ANDERSON, CHRISTOPHER WILLIAM | FINANCIAL AND OPERATIONS PRINCIPAL | 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
1,249AUM (Assets Under Management)
$605,675,350Disclosures
Regulatory Event
1Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/02/2026 | Cover Page | Report |
| 04/10/2025 | Cover Page | Report |
| 03/25/2024 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
CALDWELL SECURITIES, INC | CALDWELL SUTTER CAPITAL, INC. | CALDWELL SECURITIES, INCORPORATED | CALDWELL SECURITIES, INC.
State Registrations and Notice Filings
(1/19/2023)
(7/6/2010)
(7/11/2017)
(5/20/2004)
(7/23/2024)
(6/1/2010)
(8/4/2017)
(7/31/2017)
(8/17/2010)
(8/9/2017)
(12/12/2014)
(7/23/2026)
(6/2/2010)
(2/27/2013)
(7/29/2025)
(7/1/2010)
(6/19/2017)
(1/11/2016)
(2/28/2012)
(1/2/2009)
(8/23/2017)
(3/11/2021)
(11/18/2020)
(5/28/2010)
(12/4/2020)
(9/7/2012)
(6/28/2010)
(6/14/2010)
(7/5/2017)
(2/23/2012)
(9/9/2010)
(4/25/2014)
(6/24/2022)
(9/20/2017)
(11/2/2019)
(12/4/2025)
(7/20/2010)
(6/30/2017)
(4/20/2017)
(9/17/2012)
(12/12/2014)
(12/12/2014)
(8/24/2022)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 79 — Investment Banking Registered Representative Examination
Passed Jan 2011About the Series 79 examSeries 55 — Limited Representative-Equity Trader Exam
Passed Apr 2005SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Joseph Francis Helmer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph Francis Helmer's CRS (Customer Relationship Summary).
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