Full text of CAPITAL MANAGEMENT OF THE CAROLINAS, LLC's X-17A-5 filed 2025-02-11 (period 2024-12-31). 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-17 A-5 PART** Ill 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden 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 **01/01/2024** MM/DD/VY AND ENDING 1213112024 MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: Capital Management of the Carolinas, LLC TYPE OF REGISTRANT (check all applicable boxes): C!l Broker-dealer D Security-based swap dealer D Major security-based swap participant D 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) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* 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 **FOR OFFICIAL USE ONLY** \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public 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. swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of Capital Management of the Carolinas, LLC as of 12/31 2 024 ·. is true and correct. I further swear ( or affirm) that neither the company nor any partner, . officer, director, or equivalent person, as;~~.!tl:!M~&>;,.be, has any proprietary interest in any account classified sol·ety <sup>h</sup>f **1-''" ~~Rr** *rA* ,,,. as t at o a customer. **~~'v ,.,Q~** *~c;\_,* ,~~ f *~OTA,qy* **\c\** Sig·~…Read the full text as markdown