Joseph M. Ducote

CALDWELL SUTTER CAPITAL

Sausalito, CA 94965

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CRD#: 72548

Professional summary

Joseph Michael Ducote, who also goes by Joe Ducote, is a registered financial professional currently at CALDWELL SUTTER CAPITAL, INC. located in Sausalito, California.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1971. Joseph has worked at 11 firms and has passed the Series 63, Series 7TO, Series 52TO, Series 79TO, SIE, PC, Series 1, Series 53, Series 24 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joe Ducote

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) - BD

Click below to view Joseph Michael Ducote's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 12, 2017 - Present

CALDWELL SUTTER CAPITAL, INC.

Office #1: 30 Liberty Ship Way #3225, Sausalito, CA 94965

RIA

CRD#: 10489

Sausalito, CA

Past

July 1, 2003 - January 4, 2008

GARDNER RICH, L.L.C.

CRD#: 23681

SAN FRANCISCO, CA

Past

December 8, 1992 - July 31, 2017

SUTTER SECURITIES INCORPORATED

CRD#: 30770

SAN FRANCISCO, CA

Past

April 29, 1989 - December 8, 1992

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

September 4, 1987 - April 14, 1989

GLICKENHAUS & CO.

CRD#: 2016

Past

August 15, 1985 - September 9, 1987

J.P. MORGAN SECURITIES LLC

CRD#: 79

Past

January 31, 1980 - September 9, 1985

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

October 20, 1977 - January 31, 1980

BLYTH EASTMAN DILLON & CO. INCORPORATED

CRD#: 6361

Past

October 8, 1974 - November 7, 1977

LOEB, RHOADES & CO. INC.

CRD#: 525

Past

November 14, 1972 - October 9, 1974

BLYTH EASTMAN DILLON & CO. INCORPORATED

CRD#: 6361

Past

May 26, 1971 - November 14, 1972

EASTMAN DILLON, UNION SECURITIES & CO., INCORPORATED

CRD#: 243

Past

March 25, 1971 - May 2, 1971

DEAN WITTER & CO. INCORPORATED

CRD#: 209

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.

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

Arizona
(8/16/2017)

California
(7/13/2017)

Colorado
(8/14/2017)

Connecticut
(8/7/2017)

Florida
(6/25/2020)

Illinois
(8/22/2024)

Maine
(7/15/2020)

Massachusetts
(8/3/2017)

Michigan
(7/26/2022)

Missouri
(7/22/2022)

Nevada
(8/9/2017)

New Jersey
(7/22/2022)

New York
(8/14/2017)

Ohio
(7/22/2022)

Oklahoma
(2/7/2023)

Oregon
(8/14/2017)

South Carolina
(8/2/2017)

South Dakota
(8/3/2022)

Utah
(8/1/2017)

Virginia
(7/23/2022)

Washington
(8/7/2017)

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: 9/1/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

PC

Date: 12/31/1979

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 3/15/1971

Registered Representative Examination

Principal/Supervisory Exam

Series 53

Date: 1/2/2023

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/19/1992

General Securities Principal Examination

Principal/Supervisory Exam

Series 40

Date: 12/13/1976

Registered Principal Examination

SRO Registrations

FINRA

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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Advisor Monitoring

Firm Stability Insights

Joseph M. Ducote

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Michael Ducote's CRS (Customer Relationship Summary).

Certified licenses

Experience

GARDNER RICH, L.L.C.

SUTTER SECURITIES INCORPORATED

GRUNTAL & CO., L.L.C.

GLICKENHAUS & CO.

J.P. MORGAN SECURITIES LLC

UBS FINANCIAL SERVICES INC.

BLYTH EASTMAN DILLON & CO. INCORPORATED

LOEB, RHOADES & CO. INC.

BLYTH EASTMAN DILLON & CO. INCORPORATED

EASTMAN DILLON, UNION SECURITIES & CO., INCORPORATED

DEAN WITTER & CO. INCORPORATED

Primary Firm SEC Registration

CALDWELL SUTTER CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/1/1987

Series 7TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

PC

Date: 12/31/1979

Series 1

Date: 3/15/1971

Series 53

Date: 1/2/2023

Series 24

Date: 8/19/1992

Series 40

Date: 12/13/1976

FINRA

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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