Full text of CAPITAL MANAGEMENT OF THE CAROLINAS, LLC's X-17A-5 filed 2024-02-21 (period 2023-12-31). 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** # **ANNUAL REPORTS FORM X-17A-S PART** Ill 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-53149 | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | |---------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|---------------------------------------------| | | | | | | FILING FOR THE PERIOD BEGINNING O 1/01/2023 | | AND ENDING 12/31/2023 | | | | MM/DD/VY | | MM/DD/VY | | | A. REGISTRANT IDENTIFICATION | | | | NAME oF FIRM: Capital Management of the Carolinas, LLC | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>[!] Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | D Security-based swap dealer | D Major security-based swap participant | | | 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) | (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)<br>06/07/2005 | (City) | (State)<br>2324 | (Zip Code) | | rte of Reg;stcafoo w;th PCAOBJ(;f appUcable) | | | I<br>(PCAOB R,g;m,uoo N,mbec, ;ta ppUcable) | | * Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public | FOR OFFICIAL USE ONLY | | | 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}---------------------…Read the full text as markdown