Full text of CAPITAL MANAGEMENT OF THE CAROLINAS, LLC's X-17A-5 filed 2021-02-08 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITEDSTATES | | 0MB APPROVAL | |---------------------------------------------------------------------------|--------------------------------------------------------------|------------|----------------------------------------------------------| | | SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | 0MB Number:<br>3235-0123<br>October 31, 2023<br>Expires: | | | | | Estimated average burden | | | ANNUAL AUDITED REPORT | | hours per response 12.00 | | | FORM X-17A-5 | | SEC FILE NUMBER | | | PART Ill | | 8-53149 | | | FACING PAGE | | | | Information Required of Brokers and Dealers Pursuant to Section 17 of the | Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | | | | __<br>REPORT FOR THE PERIOD BEGINNING | ___<br>o_1_10_11_2_0_2_o | AND ENDING | __<br>__<br>_<br>1_2_/3_1_/_2_02_0 | | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME oF BROKER-DEALER: Capital Management of the Carolinas, LLC | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No,) | | | FIRM I.D. NO. | | 1520 South Blvd., Suite 230 | | | | | | (No. and Street) | | | | Charlotte | NC | | 28203 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | | | (Area Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | GreerWalker LLP | | | | | | (Name - if i11dil'id11al, state last, first, middle name) | | | | 227 West Trade Street, Suite 110 | Charlotte | NC | 28202 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | I<br>✓<br>Certified Public Accountant | | | | | Public Accountant | | | | | Accountant not resident in United States or any of its possessions. | | | | | a | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | *\*Claims for exemption ji·om the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(e)(2)* > **Potential 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 0MB control number. SEC 1410 (11-05) {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | my knowledge…Read the full text as markdown