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Gregory J. Harder
CALDWELL SUTTER CAPITAL
Santa Rosa, CA 95403
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CRD#: 5614504
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Professional summary
Gregory Joseph Harder, who also goes by Gregory Harder, is a registered financial advisor currently at CALDWELL SUTTER CAPITAL, INC. located in Santa Rosa, California.
Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Gregory has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Gregory Harder
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.
Gregory Harder is self-employed working as a life insurance agent (CA Insurance License #0F70736), which is not investment related. Located at 3562 Roundbarn Circle #310, Santa Rosa, CA 95403. 5 hours per month are dedicated to this, none during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Gregory Joseph Harder's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gregory Joseph Harder'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
March 2, 2023 - Present
CALDWELL SUTTER CAPITAL, INC.
Office #1: 3562 Roundbarn Circle Ste 310, Santa Rosa, CA 95403RIA
BD
CRD#: 10489
Santa Rosa, CA
Current
March 1, 2023 - Present
CALDWELL SUTTER CAPITAL, INC.
Office #1: 3562 Roundbarn Circle Ste 310, Santa Rosa, CA 95403RIA
BD
CRD#: 10489
Santa Rosa, CA
Past
July 30, 2019 - February 24, 2023
NBC SECURITIES, INC.
RIA
CRD#: 17870
SANTA ROSA, CA
Past
July 30, 2019 - February 24, 2023
NBC SECURITIES, INC.
BD
CRD#: 17870
SANTA ROSA, CA
Past
January 21, 2009 - July 11, 2019
EDWARD JONES
RIA
CRD#: 250
SANTA ROSA, CA
Past
January 7, 2009 - July 11, 2019
EDWARD JONES
BD
CRD#: 250
SANTA ROSA, CA
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
Arizona(5/15/2023)
RR
California(3/1/2023)
IAR
California(3/2/2023)
RR
Louisiana(5/2/2023)
IAR
Texas(12/11/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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#: 10489Santa Rosa, CA 95403TRUST BUT VERIFY
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