Full text of CAROFIN, LLC's X-17A-5 filed 2025-04-14 (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<br>REPORTS | |-------------------| | X-17A-5<br>FORM | | PART<br>III | \_\_\_\_\_\_\_ OMB APPROVAL OMB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-70224 **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 1/1/2024 AND END|N<sup>q</sup> 12/31/2024 MM/DD/YY MM/DD/YY **\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ A. REGISTRANT IDENTIFICATION\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_** name of firm: Carofin, LLC\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ TYPE OF REGISTRANT (check all applicable boxes): S Broker-dealer 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.) | Club<br>Rd.___________________________________________<br>Elks<br>100 | |-----------------------------------------------------------------------| | | | | (No. and Street) | | |----------------------------------------------|------------------------------|----------------------| | Brevard | NC | 28712 | | (City) | (State) | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | Nicholas<br>Craig<br>Gilmore | (828)<br>393-0088 | cgilmore@carofin.com | | (Name) | (Area Code-Telephone Number) | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* # Goldman & Company CPAs PC | | (Name -if<br>individual, state last, first, and middle name) | | | |--------------------------------------|--------------------------------------------------------------|---------|-------------------------------------| | 3535<br>Rosewell<br>Rd., | Ste.<br>Marietta_________<br>32 | GA | 30062 | | (Address) | (City) | (State) | (Zip Code) | | | 6/25/2009______________________________ | | 1952_______________ | | (Date of Registration with PCAOB)(if | applicable)(PCAOB | | Registration Number, if applicable) | | | 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 <sup…Read the full text as markdown