CB
Christopher R. Bovich
CALDWELL SUTTER CAPITAL
Sausalito, CA 94965-3324
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CRD#: 828906
CB
Professional summary
Christopher Robert Bovich is a registered financial professional currently at CALDWELL SUTTER CAPITAL, INC. located in Sausalito, California.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 1976. Christopher has worked at 11 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
No
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) - BD
Click below to view Christopher Robert Bovich'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 18, 2023 - Present
CALDWELL SUTTER CAPITAL, INC.
Office #1: 30 Liberty Ship Way #3225, Sausalito, CA 94965-3324RIA
BD
CRD#: 10489
Sausalito, CA
Past
August 3, 2020 - December 12, 2022
TRUIST SECURITIES, INC.
BD
CRD#: 6271
BOSTON, MA
Past
January 2, 2013 - August 3, 2020
BB&T SECURITIES, LLC
BD
CRD#: 142785
NAPLES, FL
Past
December 15, 2006 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
BD
CRD#: 6255
BOSTON, MA
Past
July 31, 1996 - October 18, 2006
GLEACHER & COMPANY SECURITIES, INC.
BD
CRD#: 298
BOSTON, MA
Past
October 7, 1991 - June 26, 1996
PRAGER & CO., LLC
BD
CRD#: 21567
SAN FRANCISCO, CA
Past
April 19, 1989 - June 6, 1991
CHASE SECURITIES, INC.
BD
CRD#: 10793
NEW YORK, MD
Past
September 5, 1979 - April 29, 1989
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
Past
August 14, 1978 - March 17, 1979
PRESCOTT, BALL & TURBEN, INC.
BD
CRD#: 7656
Past
February 4, 1977 - August 14, 1978
PRESCOTT, BALL & TURBEN
BD
CRD#: 7342
Past
October 21, 1976 - February 4, 1977
PRESCOTT, BALL & TURBEN
BD
CRD#: 7101
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.
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(5/18/2023)
RR
Connecticut(5/18/2023)
RR
Florida(5/18/2023)
RR
Illinois(5/18/2023)
RR
New York(5/18/2023)
RR
Pennsylvania(5/18/2023)
RR
Texas(5/18/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CALDWELL SUTTER CAPITAL, INC.
CRD#: 10489Sausalito, CA 94965-3324TRUST BUT VERIFY
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