Full text of INTERCAROLINA FINANCIAL SERVICES, INC.'s X-17A-5 filed 2022-03-01 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | 0MB APPROVAL | |--------------------------| | 0MB Number: 3235-0123 | | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response: 12 | | SEC FILE NUMBER | | |-----------------|--| | 8-37519 | | #### **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | ----------<br>FILING FOR THE PERIOD BEGINNING 01I01/2021<br>MM/DD/VY<br>A. REGISTRANT IDENTIFICATION<br>NAME OF FIRM : lntercarolina Financial Services, Inc. | AND ENDING 12/31/2021 | ----------<br>MM/DD/VY | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------|-----------------------------------------------| | | | | | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>0 Broker-dealer<br>D Security-based swap dealer<br>D Check here if respondent is also an OTC derivatives dealer | D Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | 3300 Battleground Avenue, Suite 400 | | | | (No. and Street) | | | | NC<br>Greensboro | | 27410 | | (City)<br>(State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | Joe Navolanic<br>336 288 6890 | | | | (Area Code - Telephone Number)<br>(Name) | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Batchelor Tillery & Roberts, LLP | | | | (Name - if individual, state last, first, and middle name) | | | | 3605 Glenwood Avenue, Suite 350<br>Raleigh | NC | 27612 | | (City)<br>(Address) | (State) | (Zip Code) | | 2009 | 3675 | | | l"<br>of Reg;m,,;o, w;th PCAOB)Vf appHcable) | | I<br>(PCAOB Reg;,t,abo, Nombec, ;f appHcable) | | FOR OFFICIAL USE ONLY<br>• Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public | | | accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid…Read the full text as markdown