Branch offices
2 offices
FINRA: Small firm
CRD #110643 · FINRA BrokerCheck + SEC IAPD
Capital Management of the Carolinas, LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Capital Management of the Carolinas, LLC ranks #7,351 of 20,055 by disclosure count (most disclosures first). Among firms registered in NC, it ranks #32 of 55 on the same disclosure sort used on the state browse page. Capital Management of the Carolinas, LLC has a clean FINRA BrokerCheck record, no reportable disclosures across its 2 branch offices, earning a Grade A.
- Grade A
- Safety grade
- 2
- branch offices
- 0
- disclosures
- #7,351 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 110643 Capital Management of the Carolinas, LLC
Capital Management of the Carolinas, LLC · Grade A · 0 disc · 0.00/office · Small firm
- CRD 110643
- GRADE A
- DISC 0
- REG 0
- ARB 0
- CIV 0
- BRANCH 2
- PER-OFF 0.00
- RANK #7,351 of 20,055
- BOOK Small firm
Intensity peers
Nearest same-size peer: 1031 Securities Inc. (0.00 disc/office)
Capital Management of the Carolinas, LLC ranks #7,351 of 20,055 by disclosure count among graded broker-dealers; clean record at 0.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 5/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.
Data updated July 2026
Total disclosures
0 events
On FINRA BrokerCheck
Regulatory events
0 actions
On FINRA BrokerCheck
Disclosures per office
0.00 per office
0 ÷ 2 offices
Clean disclosure surface
Capital Management of the Carolinas, LLC has zero reportable FINRA BrokerCheck disclosures in this extract across 2 branch offices (Grade A). Verify on FINRA BrokerCheck ↗
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- Charlotte, NC
- CRD Number
- 110643
Clean BrokerCheck surface
Capital Management of the Carolinas, LLC's clean BrokerCheck surface
Capital Management of the Carolinas, LLC shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 2 branch offices (Grade A).
Capital Management of the Carolinas, LLC shows zero reportable disclosures across 2 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Capital Management of the Carolinas, LLC's clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.
North Carolina cohort · 0.00× state average
Capital Management of the Carolinas, LLC sits below the North Carolina disclosure average
Capital Management of the Carolinas, LLC reports 0 BrokerCheck disclosures, 0.00× the North Carolina average of 4.3, lighter than most of the 55 graded firms filed there.
In North Carolina, 31 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.
Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the North Carolina state book →
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Capital Management of the Carolinas, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Capital Management of the Carolinas, LLC ranks #7,351 of 20,055 by disclosure count (most disclosures first). Among firms registered in NC, it ranks #32 of 55 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of A mean for Capital Management of the Carolinas, LLC?
A grade of A means Capital Management of the Carolinas, LLC has a clean record, no reportable FINRA BrokerCheck disclosures on file. Grades on PlainAdvisorCheck are size-normalized: clean firms earn an A regardless of size.
How many FINRA disclosures does Capital Management of the Carolinas, LLC have?
Capital Management of the Carolinas, LLC has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Capital Management of the Carolinas, LLC?
Capital Management of the Carolinas, LLC operates 2 branch offices and is classified by FINRA as a small firm, registered in NC (Small firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Capital Management of the Carolinas, LLC's disciplinary record?
You can verify Capital Management of the Carolinas, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 110643. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's BrokerCheck record. Capital Management of the Carolinas, LLC currently shows none - that is a clean surface, not a guarantee that future events will not appear.
Read with this firm
- 1031 Securities Inc. (MI) - 0.00 disclosures/office, nearest small firm peer to Capital Management of the Carolinas, LLC's 0.00
- 16 Points LLC (PR) - 0.00 disclosures/office, nearest small firm peer to Capital Management of the Carolinas, LLC's 0.00
- 1851 Securities, Inc (CT) - 0.00 disclosures/office, nearest small firm peer to Capital Management of the Carolinas, LLC's 0.00
- Firms in NC - state roster that includes Capital Management of the Carolinas, LLC's registration home.
- How to Vet a Financial Advisor - Use Capital Management of the Carolinas, LLC's clean BrokerCheck surface as the baseline when you compare other firms.
- Reading BrokerCheck Reports - What a Grade A page like Capital Management of the Carolinas, LLC's does and does not prove.
- Clean-Record Firms - Other Grade-A firms ranked by footprint alongside Capital Management of the Carolinas, LLC.
- Compare firms - put Capital Management of the Carolinas, LLC next to peers on grade and footprint.
Read our methodology - clean-record firms: what a Grade A surface does and does not prove.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.