INTERCAROLINA FINANCIAL SERVICES, INC. of GREENSBORO, NC is an SEC-registered investment adviser (CRD 19475). Regulatory assets under management: $85.4M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: High net worth.
| Name | Role | Location |
|---|---|---|
| Joseph Eugene Navolanic | PRESIDENT/FIN OP | — |
| Marcus Dale Kindley | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | — |
| NAVOLANIC JOSEPH EUGENE | PRESIDENT/FIN OP | — |
| KINDLEY MARCUS DALE | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2016-07-06 | regulatory | INTERCAROLINA FINANCIAL SERVICES VIOLATED RULES 1250 AND 2010 AND NASD RULE 3010 (A) AND (B) FAILED TO ESTABLISH, MAINTAIN AND ENFORCE ADEQUATE SUPERVISORY SYSTEM AND WRITTEN SUPERVISORY PROCEDURES TO MONITOR IT'S REGISTERED PERSONS REGULATORY ELEMENT CONTINUING (CE) STATUS. | Final | $20K |
| — | regulatory | — | — | — |
| City | State | Employees | Phone |
|---|---|---|---|
| GREENSBORO | NC | 1 | 336-907-8049 |
| LITTLE RIVER | SC | 1 | 336-253-5684 |
| MURRAY | KY | 1 | 270-761-4121 |
| CONCORD | NC | 1 | 704-792-5088 |
| CHAPEL HILL | NC | 1 | 919-929-3488 |
| CARY | NC | 1 | 919-303-1247 |
| WAHPETON | ND | 1 | 701-591-0270 |
| OAKBORO | NC | 1 | 704-485-8192 |
| SANDY SPRINGS | GA | 1 | 404-840-8548 |