Frank J. Soriano

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CRD#: 831248

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.

Frank Joseph Soriano was a registered financial professional .

Frank is a previously registered financial professional and started their career in finance in 1976. Frank had worked at 5 firms and has passed the Series 63, Series 52TO, Series 7TO, Series 79TO, SIE, Series 50, Series 24, Series 53, Series 54, Series 40 and Series 12 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#: 8166

Past

January 31, 1980 - February 20, 1992

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

December 15, 1976 - January 31, 1980

BLYTH EASTMAN DILLON & CO. INCORPORATED

CRD#: 6361

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.

Registered Principal Examination

Principal/Supervisory Exam

Series 12

Date: 9/14/1972

NYSE Branch Manager 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

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Frank J. Soriano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SUTTER SECURITIES INCORPORATED

BLYTH EASTMAN PAINE WEBBER INCORPORATED

UBS FINANCIAL SERVICES INC.

BLYTH EASTMAN DILLON & CO. INCORPORATED

Primary Firm SEC Registration

CALDWELL SUTTER CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/10/1993

Series 52TO

Date: 1/2/2023

Series 7TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 50

Date: 9/28/2016

Series 24

Date: 1/2/2023

Series 53

Date: 1/2/2023

Series 54

Date: 4/30/2021

Series 40

Date: 12/9/1976

Series 12

Date: 9/14/1972

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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