Form D · Investment Banking

Carolina Financial Securities, LLC

Brevard, NC · CIK 0001493400

Offering snapshot reported Jul 31, 2013 · SEC filing

Reported sold
$20K
Offering amount: $20K
Investors reported
1
Form D · investor count
Minimum accepted
$20K
Reported outside-investor minimum
First sale
Jul 22, 2013
As reported in this filing

What changed?

Latest filing versus its linked predecessor, where available.

No comparable changes in the displayed metrics.

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jul 31, 2013Initial$20,000No comparison1SEC filing
Sep 1, 2011Initial$20,000No comparison1SEC filing
Jun 30, 2010Amendment$60,000$40,000vs Jun 17, 20103SEC filing
Jun 17, 2010Initial$20,000No comparison1SEC filing

Offering details

Securities
Equity, Option to acquire
Exemptions
06
Duration over one year
No
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-200508
This transaction was for the sale of membership units of the firm to its chairman. There were no fees paid to any party for this transaction.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Peter Milhaupt728310Carolina Financial Securities, LLC · CRD 41970

Source: Form D, filed Jul 31, 2013. Minimum accepted may differ from a standard advertised minimum.

Fund connections

No confirmed ADV fund connection is available for this issuer.

People & organizations

Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.

People and organizations reported in Form D filings
NameReported role
Peter Stuart M Ilhaupt Executive
Bruce Victor Robert Executive
Bruce Victor Roberts Executive

Issuer details

Industry: Investment Banking (See others in industry)

Address:
185 W. Main St.
Brevard, NC, 28712