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Joseph M. DuCote, Senior Managing Director and Chairman of the Executive Committee

Mr. DuCote is a native Californian who has been active in all phases of public and private finance during his 47-year investment banking career. Mr. DuCote was a managing director for two major Wall Street brokerage firms before co-founding Sutter Securities. In this capacity, he was active in the market for both domestic and international securities issues, managing the underwriting, distribution, and secondary market making of both tax-exempt and taxable fixed-income products.  In 2017, Mr. DuCote helped combine the capabilities, professionals, and expertise of Sutter Securities with Caldwell Securities to form Caldwell Sutter Capital, Inc.

Mr. DuCote has direct trading, sales and underwriting supervision in support of client portfolio accounts.  He is actively engaged in the support of the firms High Net Worth clientele total return portfolios through managerial oversight in the areas of asset allocation, research, and portfolio structuring. He has also served as an advisor to various branches of government on strategic investment and securities-related public policy issues and has an extensive background in
global finance.

Mr. DuCote is a member of the San Francisco Bond Club and the Municipal Bond Club of San Francisco. He has served as director of the Seton Medical Foundation, as well as of the Friends of the International Student Center at the University of California, Los Angeles (UCLA). He served as a member of Napa County's Silverado Country Club Board of Directors (1998-1999) and their President for the year 2000. Mr. DuCote was formerly a member of the board of ReSurge International’s (formerly Interplast Inc.) a Sunnyvale, California-based global not for profit provider of surgical services.  Mr. DuCote served as ReSurge International’s CFO/Treasurer. Mr. DuCote holds a bachelor's degree in political science (1965) and a master's degree in public administration (1968) from the University of California, Berkeley. For the academic years 2010-2012, he was a Visiting Scholar at the University of California at Berkeley’s College of Environmental Design’s Institute of Urban and Regional Development.

 

Licenses

  • General Securities Principal

  • General Securities Representative

  • Municipal Securities Principal

  • Municipal Securities Representative

  • Investment Banking Representative


Phone  | (415) 532-6388

Email   |  jducote@bloomberg.net


The background of this firm and investment professionals may be found on FINRA's BrokerCheck.