0001135105-14-000005.txt : 20141219
0001135105-14-000005.hdr.sgml : 20141219
20141219075411
ACCESSION NUMBER: 0001135105-14-000005
CONFORMED SUBMISSION TYPE: MA
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20141218
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
SEC ACT: 1934 Act
SEC FILE NUMBER: 867-01293
FILM NUMBER: 141297639
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
1
primary_doc.xml
MA
0001135105
XXXXXXXX
Rebecca Douglass
704-332-3131
rdouglass@capitalmc.com
CAPITAL MANAGEMENT OF THE CAROLINAS, LLC
000110643
56-2222703
866-01525-00
008-53149
000110643
NC Securities Division
CRD #110643
1520 SOUTH BOULEVARD, SUITE 230
CHARLOTTE
NC
28203
704-332-3131
704-332-4151
N
1520 SOUTH BOULEVARD, SUITE 230
CHARLOTTE
NC
28203
N/A
Rebecca
Gentry
Douglass
VP/Partner
1520 South Boulevard, Suite 230
Charlotte
NC
28203
704-332-3131
704-332-4151
rdouglass@capitalm.com
December
NC
11-15-2000
N
6
1
1
0
0
1
Municipal Entities
0
0
0
Not Applicable
Other
applicant receives 1/3 of fee from an IA firm
Not Applicable
Applicant receives 1/3 of an investment advisory fee (less payment for arbitrage services) from Sterling Capital Management, a registered IA firm.
Advice Investment Of Proceeds MS
Y
Y
N
Broker-dealer municipal securities dealer or government securities broker or dealer
3
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
James Calvin Rivers
James Calvin Rivers
Y
Y
N
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
Kenneth Lee Carter Jr.
Kenneth Lee Carter Jr.
Y
Y
N
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
Rebecca Gentry Douglass
Rebecca Gentry Douglass
Y
Y
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
Y
N
James
Calvin
Rivers
President/Partner/CEO
11-15-2000
D
Y
001067542
Kenneth
Lee
Carter, Jr.
VP/Partner/CFO
11-15-2000
C
Y
002822127
Rebecca
Gentry
Douglass
VP/Partner/CCO
11-15-2000
A
Y
001213829
Rebecca Douglass
Rebecca Douglass
VP/Partner/CCO
10-29-2014
000110643
N
N
N
N
N
Y
N
N
N
N
N
N
N
N
Y
N
N
N
N
N