Full text of CAPITAL MANAGEMENT OF THE CAROLINAS, LLC's X-17A-5 filed 2023-02-13 (period 2022-12-31). 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:<br>12 | | | | | ## **ANNUAL REPORTS FORM X-17A-5 PART Ill** | 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 | 12/31/2022<br>01/01/2022<br>AND ENDING | | | | | | | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|---------|----------|-------------------------------------|--|--|--|--| | | MM/DD/YY | | MM/DD/YY | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | | Capital Management of the Carolinas, LLC<br>NAME OF FIRM: | | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>~ Broker-dealer<br>□ Security-based swap dealer<br>□ Major security-based swap participant<br>□ 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) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | | Sherri Lynn Yager | 704-332-3131 ext. 238 | | | syager@capitalmc.com | | | | | | {Name) | (Area Code - Telephone Number)<br>{Email Address) | | | | | | | | | | 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 | | | | | | {Address) | (City) | | (State) | (Zip Code) | | | | | | 06/07/2005 | | | 2324 | | | | | | | rte of Reg;,traUoo w;th PCAOB)(;f apphcable) | | | | (PCAOB Re~m,Mo N,mbec, ••pphcable)I | | | | | | * Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public | FOR OFFICIAL USE ONLY | | | | | |…Read the full text as markdown