Full text of CAROLINA FINANCIAL SECURITIES, LLC's X-17A-5 filed 2026-04-14 (period 2025-12-31). 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 IH ......** \_\_\_\_\_\_\_ OMB APPROVAL OMB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-49653 **FAC|NG PAGE Information Required Pursuant to Rules 17a-5,17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING 1/1/2025 AND END|NG 12/31/2025 MM/DD/YY MM/DD/YY **\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ A. REGISTRANT IDENTIFICATION\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_** name of firm: Carolina Financial Securities, LLC TYPE OF REGISTRANT (check all applicable boxes): E Broker-dealer Security-based swap dealer Major security-based swap participant Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 100 Elks Club Rd.\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ (No. and Street) Brevard NC 28712 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Nicholas Craig Gilmore (828) 393-0088 cgilmore@carofin.com (Name) (Area Code-Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing \* Goldman & Company CPAs PC (Name -if individual, state last, first, and middle name) 3535 Rosewell Rd., Ste. 32 Marietta\_\_\_\_\_\_\_\_\_\_GA 30062 (Address) (City) (State) . (Zip Code) 6/25/2009 1952 (Date of Registration with PCAOB)(ifapplicable)(PCAOB Registration Number, if applicable) **FOR OFFICIAL USE ONLY** \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by <sup>a</sup> statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(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 OMB control number.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | Gilmore<br>OATH OR AFFIRMATION | | | | | |--------------------------------------------|----------------------------------------------------------------------------------------------------------------------------…Read the full text as markdown