Full text of CAROLINA FINANCIAL SECURITIES, LLC's X-17A-5 filed 2024-04-01 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | | ________OMB APPROVAL<br>0MB Number: 3235-0123<br>Expires: Nov. 30, 2026<br>Estimated average burden<br>hours per response:<br>12 | | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------|-----------------------|----------------------------------------------------------------------------------------------------------------------------------|--|--| | ANNUAL<br>REPORTS | | | SEC FILE NUMBER | | | | | X-17A-5<br>FORM | | 8-49653 | | | | | PART<br>III | | | | | | FACING PAGE<br>Information Required Pursuant to<br>Rules 17a-5,17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | FILING FOR THE PERIOD BEGINNING | 1/1/2023 | AND END[NG 12/31/2023 | | | | | | MM/DD/YY | | MM/DD/YY | | | | ______________________________________A. REGISTRANT IDENTIFICATION_____________________________________ | | | | | | | name of firm: Carolina<br>Financial | Securities, | LLC | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>H<br>Major<br>Broker-dealer<br>Security-based swap dealer<br>security-based swap participant<br>Check here if respondent is also an OTC derivatives dealer | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not | use a P.O. box no.) | | | | | | Club<br>100<br>Elks | | | Rd._____________________________________________ | | | | | (No. and Street) | | | | | | Brevard | NC | | 28712 | | | | (City) | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Nicholas<br>Craig<br>Gilmore | (828)<br>393-0088 | | cgilmore@carofin.com | | | | (Name) | (Area Code-Telephone Number)<br>(Email Address) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports<br>Goldman<br>Company<br>& | are contained in this<br>PC | filing* | | | | | CPAs<br>(Name -if<br>individual, state last, first, and middle name) | | | | | | | 3535<br>Rosewell<br>Ste.<br>Rd., | 32<br>Marietta | GA | 30062 | | | | (Address) | (City) | (State) | (Zip Code) | | | | 6/25/2009 | | 1952 | | | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | | | | FOR OFFICIAL USE ONLY | | | | | | * Claims for exemption f…Read the full text as markdown