Full text of CAPITAL MANAGEMENT OF THE CAROLINAS, LLC's X-17A-5 filed 2022-02-14 (period 2021-12-31). 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 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART Ill** | hours per response: 12 | | |------------------------|--| | | | | SEC FILE NUMBER | | | 8-53149 | | #### **FACING 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<br>01/01/2021<br>MM/DD/VY | | ___<br>AND ENDING __ 1_2_/3_1_/2_0_21 _<br>_<br>MM/DD/VY | |-----------------------------------------------------------------------------------------------|------------------------------------------------------------|---------|----------------------------------------------------------| | | | | | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: | Capital Management of the Carollnas, LLC | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | ~ Broker-dealer | D 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.) | | | | | 1520 South Blvd ., Suite 230 | | | | | | (No. and Street) | | | | Charlotte | NC | | 28203 | | (City) | {State) | | (Zip Code) | | | | | | | | | | | | | 704-332-3131 ext. 238<br>(Area Code - Telephone Number) | | syager@capitalmc.com<br>(Email Address) | | PERSON TO CONTACT WITH REGARD TO THIS FILING<br>Sherri Lynn Yager<br>(Name) | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>GreerWalker, LLP | | | | | | (Name - if individual, state last, first, and middle name) | | | | 227 West Trade Street, Suite 1100 | Charlotte | NC | 28202 | | | (City) | (State) | (Zip Code) | | (Address)<br>06/07/2005 | | | 2324 | | rte of Reg;maUoa wUh PCAOB)llf appUcable) | | | (PCAOB Regjmauoa N,mbec, if appllcable) | accountant must be supported by a 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 0MB control number.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** I, Kenneth Lee Carter, Jr s…Read the full text as markdown