Full text of CAROLINA SECURITIES, INC.'s X-17A-5/A filed 2022-03-07 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | LICLY AVAILP BLE<br>PUB | | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | 0MB APPROVAL<br>0MB Number: 3235-0123<br>Expires: Oct. 31, 2023<br>Estimated average burden<br>hours per response: | 12 | |--------------------------------------------------------------|------------------|--------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------|----| | | | ANNUAL REPORTS | SEC FILE NUMBER | | | | | FORM X-17A-5 | 8-50043 | | | | | PART Ill<br>I | | | | | | FACING PAGE | | | | Information Required Purst ant to Rules | | 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | FILING FOR THE PERIOD BE( INNING | | /<br>1/2021<br>AND ENDING<br>1 | 12/31/2021 | | | | | MM/DD/YY | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: | | CAROLI NA SECURITIES,<br>INC. | | | | X Broker -dealer | 0 s curity-b sed | swap dealer | 0 Major security-based swap participant | | | □ Check here if respondent s also an t TC derivatives dealer | | ADDRESS OF PRINCIPAL PU CE OF BUSINESS: (Do not use a P.O. box no.)<br>1506 SANTA LUCIA ST | | | | | | (No. and Street) | | | | WAKE FOi EST | | NC | 27587 | | | (City)<br>PERSON TO CONTACT WIT K REGA | | (State)<br>TO THIS FILING | (Zip Code) | | | ANDREW BURCH | | i<br>919-349-8332 | ABURCH@CAROLINASECURITIES.C | | | (Name) | | -T<br>(Area Code<br>elephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC AC( | OUNTA | f<br>T whose reports are contained in this filing<br>OHAB AND COMPANY, P.A. | | | | | (Nam; | t<br>if individual, state last, first, and middle name) | | | | 100 E. SYBELIA AVE<br>(Address) | UE, S | ITE 130<br>MAITLAND<br>(City) | FL<br>32751<br>(State)<br>(Zip Code) | | | | | | | | | 7/28/2004<br>(Date of Registration with PCAO (if | | applicable) | 1839<br>(PCAOB Registration Number, if applicable) | | **Persons who are to respond to """"""""""ommanon contaiea i thus trm are notreuie to res»on ones me tom displays a currently valid 0MB** I {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | ANDREW G. BURCH<br>I, | st of my knowledge and belief, the<br>· | | | | | |-----------------------------------------------------------------------------------------------------------------------…Read the full text as markdown