0001135105-14-000003.txt : 20141219 0001135105-14-000003.hdr.sgml : 20141219 20141219130549 ACCESSION NUMBER: 0001135105-14-000003 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20141030 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CAPITAL MANAGEMENT OF THE CAROLINAS, LLC CENTRAL INDEX KEY: 0001135105 IRS NUMBER: 562222703 STATE OF INCORPORATION: NC FILING VALUES: FORM TYPE: MA-I SEC ACT: 1934 Act SEC FILE NUMBER: 868-04353 FILM NUMBER: 141298499 BUSINESS ADDRESS: STREET 1: 1520 SOUTH BOULEVARD, SUITE 230 CITY: CHARLOTTE STATE: NC ZIP: 28203 BUSINESS PHONE: 704-332-3131 MAIL ADDRESS: STREET 1: 1520 SOUTH BOULEVARD, SUITE 230 CITY: CHARLOTTE STATE: NC ZIP: 28203 FORMER COMPANY: FORMER CONFORMED NAME: CAPITAL MANAGEMENT OF THE CAROLINAS LLC /BD DATE OF NAME CHANGE: 20010215 MA-I 1 primary_doc.xml MA-I 0001135105 XXXXXXXX Rebecca Douglass 704-332-3131 rdouglass@capitalmc.con N Kenneth Lee Carter Jr. 002822127 N 1 0001135105 CAPITAL MANAGEMENT OF THE CAROLINAS, LLC Capital Management of the Carolinas, LLC 11-15-2000 N 10-29-2014 0001135105 LOCATED SUPERVISED 11-15-2000 1520 SOUTH BOULEVARD, SUITE 230 CHARLOTTE NC 28203 11-2000 Capital Management of the Carolinas, LLC Charlotte NC 28203 Y N VP/Partner/CFO Y 11-2000 Capital Management of the Carolinas, LLC 1520 South Boulevard, Suite 230 Charlotte NC 28203 N N Limited broker-dealer distributing a money market mutual fund to NC governmental units and public authorities. VP/Partner/CFO 40 marketing and client service to potential and existing NCCMT clients, provides oversight on all financial aspects of the firm N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N 10-30-2014 Rebecca Douglass VP/Partner/CCO