Investment Professionals


Caldwell Sutter Capital’s veteran professionals are here to assist our
clients in reaching their investment objectives.

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Joseph F. Helmer, CFA
President

Joseph F. Helmer is president and co-owner of Caldwell Sutter Capital, Inc. Joe manages advisory accounts for wealthy individuals and families with a focus on bottom up value investing in securities typically discounted by liquidity discounts, minority share discounts, and marketability discounts. 

 
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Sue Metcalf, CFA
Managing Director & Head
of Municipal Research

Sue Metcalf, commenced her professional career at Kidder Peabody & Co., Inc in Seattle in 1983 following her graduation from Whitman College. In addition to co-founding Morton Clarke Fu & Metcalf in 1995 Sue also earned a Master's of Science Degree in Finance from Seattle University and completed her CFA charter in 2001.

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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. 

 
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John C. Helmer, CFA | Founder

John graduated from Santa Clara University with a BA degree in History in 1961. Following two years of active duty as an Army infantry officer, he attended Hastings Law School in San Francisco from 1963 to 1965.

In 1965 John joined PaineWebber Jackson & Curtis (now UBS) as a registered representative.

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Mari Fu, Managing Director & Head of Municipal Trading

Mari is nationally recognized as an expert in high grade fixed income securities, specifically the asset category which consists of tax-exempt and taxable pre-refunded and escrowed municipal obligations. In 1995 she and several colleagues, including Sue Metcalf, co-founded the investment firm of Morton Clarke Fu & Metcalf. 

 
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Christopher W. Anderson
Chief Compliance Officer

Christopher Anderson is the Chief Compliance Officer of Caldwell Sutter Capital, Inc. He
earned his bachelor’s degree from California
State University East Bay in 2004 in computer
science with a minor in mathematics. He started at Caldwell 20 years ago and has since evolved into the roles that involve him in every aspect of Caldwell’s business. 

 
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Frank J. Soriano, Municipal Investment Banker,
Senior Managing Director

Before joining the newly formed Caldwell Sutter Capital, Inc. in July, 2017, Mr. Soriano had
co founded Sutter Securities Incorporated in San Francisco serving as president since its inception
in 1992. 

 
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Diana M. Victoria
Office Manager

Before joining Caldwell Sutter Capital in 2017, Diana was the office manager for Sutter Securities Incorporated in San Francisco for 12 years. Her role at Sutter was to manage day to day operations in addition to providing administrative assistance to the investment banking team, trading department, CEO and CFO of the firm.

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Kevin Klenzendorf, Analyst

Kevin graduated from the University of California, Berkeley in 2017 with a Bachelor of Arts in Economics. Kevin joined Caldwell Sutter Capital shortly after graduation and eager to join the securities world. Kevin passed his General Securities license in August of 2017 and is currently a CFA Level 11 candidate.

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Kathleen Helmer
Public Finance Associate

Kathleen is a native of the Pacific Northwest and migrated to California for college in 1991. She graduated from Santa Clara University in 1995 with a Bachelor of Science in Civil Engineering.
Kathleen joined Caldwell Sutter Capital in 2017. She assists the Public Finance Department and the daily operations of Caldwell Sutter Capital, Inc.

 
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Ronald M. Parker
Managing Director

Mr. Parker's Wall Street career began in 1970 as a salesman with Salomon Brothers in San Francisco. In 1975, he was appointed manager of their Mortgage and US Treasury sales department, where he remained until 1980. In 1980 William Pollock & Co., one of Wall Street's oldest firms, asked Mr. Parker to manage their branch offices. 

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Richard A. Saso, CPA

Rich joined Caldwell Sutter Capital in 2010. Prior to that he owned and operated his own broker-dealer and investment advisory business since 1985. Many of Rich’s investment advisory clients originated from his CPA practice. He has been a licensed California CPA since 1977. His forty plus years’ experience include retirement, tax and financial planning, accounting and income tax preparation. 

 
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Rhea Garcia, Operations

Rhea joined Caldwell in the Summer of 2017.  She brings with her knowledge and expertise in daily back office operations. She has worked in the industry for over 10 years primarily as a liaison between clearing firms and the introducing firms.