Full text of CAROFIN, LLC's X-17A-5/A filed 2024-04-18 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | _______ OMB APPROVAL | | | | | | | | | | | | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------|-------------------------------------------------|--|---------------------------------------|--|--|--|--|--|--|--|--| | SECURITIES AND EXCHANGE COMMISSION | OMB Number: 3235-0123<br>Expires: Nov. 30, 2026<br>Estimated average burden | | | | | | | | | | | | | | | hours per response:<br>12 | | | | | | | | | | | | | SEC FILE NUMBER | | | | | | | | | | | | | | | 8-70224 | | | | | | | | | | | | | | | | | | | | | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5,17a-12, and 18a-7 under the Securities Exchange Act of 1934<br>1/1/2023<br>12/31/2023<br>AND END NG<br>FILING FOR THE PERIOD BEGINNING | | | | | | | | | | | | | | MM/DD/YY<br>MM/DD/YY | | | | | | | | | | | | | | ____________________________________ A. REGISTRANT IDENTIFICATION___________________________________ | | | | | | | | | | | | | | name of firm: Carotin,<br>LLC | | | | | | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>El Broker-dealer<br>Security-based swap dealer<br>Check here if respondent is also an OTC derivatives dealer | | | | Major security-based swap participant | | | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | | | | | | | Club<br>100<br>Elks<br>Rd. | | | | | | | | | | | | | | (No. and Street) | | | | | | | | | | | | | | Brevard | | 28712 | | | | | | | | | | | | (City) | | (State) | | (Zip Code) | | | | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | | | | | | Nicholas<br>Gilmore<br>Craig | | cgilmore@carofin.com | | | | | | | | | | | | (Name) | | (Email Address) | | | | | | | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | | | | | | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | | | | | | | Company<br>Goldman<br>& | CPAs | PC | | | | | | | | | | | | (Name -if | | individual, state last, first, and middle name) | | | | | | | | | | | | 3535<br>Rosewell<br>Rd.,<br>Ste. | 30062 | | | | | | | | | | | | | (Address) | (State) | (Zip Code)…Read the full text as markdown