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

Joe manages our Public Finance activities, leading the team responsible for managing the underwriting, distribution, secondary market making, and all aspects of both tax-exempt and taxable fixed-income products sales and trading for our institutional brokerage clients. He also manages total return portfolios for our High Net Worth clients and institutional advisory accounts.


Frank J. Soriano
Municipal Investment Banker,
Senior Managing Director

Frank leads our municipal investment banking and advisory services. During his public finance career, Frank has financed almost every type of public purpose project, with an emphasis on tax allocation financings and public power and water projects.


Mari Fu, Managing Director & Head of Municipal Trading

Mari is nationally recognized as an expert in high grade fixed income securities. Her fixed income expertise, in addition to identifying and locating intrinsic value, also extends to portfolio management, providing valuable input concerning asset allocation and portfolio structuring.


Sue Metcalf, CFA
Managing Director & Head
of Municipal Research

Sue leads our proprietary municipal bond research process and is actively involved in advising our High Net Worth and institutional investment management clients concerning research-related municipal issues.


Kevin Klenzendorf
Research Analyst

Kevin joined Caldwell Sutter Capital in 2017 as a research analyst. He assists the public finance team’s banking and underwriting efforts as well as supports the fixed income investment advisory team and trading desk operations.


Christopher W. Anderson
Chief Compliance Officer

Chris is the Chief Compliance Officer of Caldwell Sutter Capital, Inc. He leads the operations and compliance teams of both the investment advisory and brokerage business lines. Chris drives our efforts to deliver an extraordinary level of personalized client service.


Kathleen Helmer
Public Finance Associate

Kathleen joined Caldwell Sutter Capital in 2017. She assists the Public Finance team’s banking and underwriting efforts and the daily operations of both investment advisory and brokerage services.


E. Tobias Smith
Operations Manager

Before joining Caldwell Sutter Capital in 2018, Toby directed the trading operations at Russian Hill Capital and Libertyship Group, proprietary trading firms in San Francisco, CA. From 2005-2009, he served as Chief Compliance Officer for Rubicon Global Investments, an Institutional Broker/Dealer providing equity executions services. 


Diana M. Victoria
Office Manager

Diana joined Caldwell Sutter in 2017. She is actively engaged in the management of daily operations across all businesses, providing administrative support to the various
team leaders.