ST
Sean P. Tuohy
CALDWELL SUTTER CAPITAL
Austin, TX
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CRD#: 5672112
ST
Professional summary
Sean Patrick Tuohy is a registered financial advisor currently at CALDWELL SUTTER CAPITAL, INC. located in Austin, Texas.
Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Sean has worked at 4 firms and has passed the Series 66, Series 52TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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 Sean Patrick Tuohy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sean Patrick Tuohy'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
May 14, 2024 - Present
CALDWELL SUTTER CAPITAL, INC.
Office #2: 7500 Rilato Blvd Suite 250, Austin, TX 78735RIA
BD
CRD#: 10489
Austin, TX
Current
May 14, 2024 - Present
CALDWELL SUTTER CAPITAL, INC.
Office #1: 7500 Rilato Blvd Suite 250, Austin, TX 78735RIA
BD
CRD#: 10489
Austin, TX
Past
August 3, 2015 - May 7, 2024
SWBC INVESTMENT COMPANY
RIA
CRD#: 140994
SAN ANTONIO, TX
Past
August 3, 2015 - May 7, 2024
SWBC INVESTMENT SERVICES, LLC
BD
CRD#: 133715
SAN ANTONIO, TX
Past
September 17, 2013 - August 18, 2015
ADVISORS ASSET MANAGEMENT, INC.
RIA
CRD#: 46727
BOERNE, TX
Past
September 9, 2011 - September 10, 2013
ADVISORS ASSET MANAGEMENT, INC.
RIA
CRD#: 46727
BOERNE, TX
Past
August 3, 2011 - August 18, 2015
ADVISORS ASSET MANAGEMENT, INC.
BD
CRD#: 46727
BOERNE, TX
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(5/14/2024)
RR
California(5/14/2024)
RR
Colorado(5/14/2024)
RR
Connecticut(5/14/2024)
RR
Florida(5/14/2024)
RR
Georgia(5/14/2024)
RR
Illinois(5/14/2024)
RR
Indiana(5/14/2024)
RR
Louisiana(5/14/2024)
RR
Massachusetts(5/14/2024)
RR
Michigan(5/14/2024)
RR
Missouri(5/14/2024)
RR
Nevada(5/14/2024)
RR
New Jersey(5/14/2024)
RR
New Mexico(5/14/2024)
RR
New York(5/14/2024)
RR
North Carolina(5/14/2024)
RR
Ohio(5/14/2024)
RR
Oklahoma(5/14/2024)
RR
Pennsylvania(5/14/2024)
RR
South Carolina(5/14/2024)
RR
Texas(5/14/2024)
IAR
Texas(5/14/2024)
RR
Utah(5/14/2024)
RR
Virginia(5/14/2024)
RR
Washington(5/14/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 5/14/2024
Municipal Securities Representative ExaminationGeneral 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.
