ES
Edward T. Smith
CALDWELL SUTTER CAPITAL
Sausalito, CA 94965
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CRD#: 2012234
ES
Professional summary
Edward Tobias Smith, who also goes by Toby Smith, E. Tobias Smith, is a registered financial advisor currently at CALDWELL SUTTER CAPITAL, INC. located in Sausalito, California.
Edward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Edward has worked at 8 firms and has passed the Series 66, Series 63, Series 57TO, Series 52TO, SIE, Series 7, Series 3, Series 24 and Series 27 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Toby Smith | E. Tobias Smith
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 Edward Tobias Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Edward Tobias Smith'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
July 30, 2020 - Present
CALDWELL SUTTER CAPITAL, INC.
Office #1: 30 Liberty Ship Way #3225, Sausalito, CA 94965RIA
BD
CRD#: 10489
Sausalito, CA
Current
September 12, 2018 - Present
CALDWELL SUTTER CAPITAL, INC.
Office #1: 30 Liberty Ship Way #3225, Sausalito, CA 94965RIA
BD
CRD#: 10489
Sausalito, CA
Past
October 27, 2011 - April 9, 2012
WEALTHFRONT BROKERAGE LLC
BD
CRD#: 153407
PALO ALTO, CA
Past
June 25, 2008 - December 10, 2009
CHEEVERS & COMPANY, LLC
BD
CRD#: 31312
CHICAGO, IL
Past
November 23, 2005 - December 23, 2009
RUBICON GLOBAL INVESTMENTS, LLC
BD
CRD#: 134268
SAUSALITO, CA
Past
August 8, 2001 - August 20, 2002
BANC ONE CAPITAL MARKETS, INC.
BD
CRD#: 23065
CHICAGO, IL
Past
March 10, 1997 - September 24, 2001
BANC ONE BROKERAGE INTERNATIONAL CORPORATION
BD
CRD#: 32769
CHICAGO, IL
Past
April 23, 1990 - May 10, 1991
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
December 19, 1989 - April 24, 1990
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
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(7/30/2020)
IAR
California(7/30/2020)
RR
Maryland(6/6/2022)
RR
Michigan(6/6/2022)
RR
New York(9/9/2024)
RR
North Carolina(1/26/2022)
RR
Pennsylvania(6/6/2022)
RR
Rhode Island(6/24/2022)
RR
Washington(6/30/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 11/14/2025
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/6/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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
20
SEC notice filing (10 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 | 1,225 |
| AUM (Assets Under Management) | $ 571,092,070 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/10/2025 | ||
| 03/25/2024 | ||
| 11/29/2022 |
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.
Company Information
CALDWELL SUTTER CAPITAL, INC.
CRD#: 10489Sausalito, CA 94965TRUST BUT VERIFY
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