Brooks S. Horace

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CRD#: 705765

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Brooks Scott Horace was a registered financial professional .

Brooks is a previously registered financial professional and started their career in finance in 1980. Brooks had worked at 13 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CRD#: 19727

Past

November 29, 1983 - August 5, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

January 14, 1982 - November 23, 1983

MORGAN STANLEY DW INC.

CRD#: 7556

Past

March 18, 1980 - July 15, 1981

SALOMON BROTHERS INC.

CRD#: 740

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".

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)

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

Series 63

Date: 7/7/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/3/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/15/1980

General Securities Representative Examination

Current Firm

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)

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

SEC notice filing (10 States and Territories)

FINRA licenses (46 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

SAUSALITO PRODUCT BROCHURE (1/21/2025)

SAN RAMON PRODUCT BROCHURE (1/21/2025)

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

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
04/10/2025	Cover Page	Report
03/25/2024	Cover Page	Report
11/29/2022	Cover Page	Report

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.

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Firm Stability Insights

Brooks S. Horace

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SUTTER SECURITIES INCORPORATED

LEGG MASON WOOD WALKER, INCORPORATED

A. G. EDWARDS & SONS, INC.

WELLS FARGO CLEARING SERVICES, LLC

SANWA UNIVERSAL SECURITIES CO., LLC

SANWA SECURITIES (USA) CO., L.P.

CITIGROUP GLOBAL MARKETS INC.

KIDDER, PEABODY & CO. INCORPORATED

DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.

DREXEL BURNHAM LAMBERT INCORPORATED

MORGAN STANLEY DW INC.

SALOMON BROTHERS INC.

Primary Firm SEC Registration

CALDWELL SUTTER CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/7/1980

SIE

Date: 5/3/2018

Series 7

Date: 3/15/1980

Current Firm

CALDWELL SUTTER CAPITAL, INC.

Contact information

SEC notice filing (10 States and Territories)

FINRA licenses (46 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

CALDWELL SUTTER CAPITAL, INC.

TRUST BUT VERIFY

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