Full text of CAROLINA SECURITIES, INC.'s X-17A-5 filed 2021-02-18 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## PUBLIC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ### ANNUAL AUDITED REPORT FORM X-17A-5 PART III | QMB APPROVAL | | | | | | |---------------------------------|--|--|--|--|--| | QMB Number.<br>3235-0123 | | | | | | | Expires:<br>October 31, 2023 | | | | | | | Estimated average burden | | | | | | | . 12.00 <br>hours per response | | | | | | | | SEC FILE NUMBER | | | | | |---------|-----------------|--|--|--|--| | 8-50043 | | | | | | FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | MM/DD/YY<br>MM/DD/YY<br>A. REGISTRANT IDENTIFICATION<br>CAROLINA SECURITIES, INC.<br>NAME OF BROKER DEALER:<br>OFFICAL USE ONLY<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>FIRM ID. NO.<br>1506 SANTA LUCIA STREET<br>(No. and Street)<br>NC<br>WAKE FOREST<br>27587<br>(City)<br>(State)<br>(Zip Code)<br>NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>919-349-8332<br>ANDREW BURCH<br>(Area Code - Telephone No.) | | | | | | | | | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--|--|--|--|--|--|--|--| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | B. ACCOUNTANT DESIGNATION | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | | | | OHAB AND COMPANY, PA | | | | | | | | | | (Name - if individual, state last, first, middle name) | | | | | | | | | | 100 E. SYBELIA AVENUE, SUITE 130, MAITLAND<br>FLORIDA<br>32751 | | | | | | | | | | (Address and City)<br>(Zip Code)<br>(State) | | | | | | | | | | CHECK ONE:<br>& Certified Public Accountant | | | | | | | | | | Public Accountant<br>Accountant not resident in United States or any of its possessions | | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | | | | | | | | \*Clai…Read the full text as markdown