Randall S. Mabry

CAPITAL MANAGEMENT OF THE CAROLINAS

Charlotte, NC 28203

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CRD#: 1274151

Professional summary

Randall Scott Mabry, who also goes by Randy Mabry, is a registered financial professional currently at CAPITAL MANAGEMENT OF THE CAROLINAS, LLC located in Charlotte, North Carolina.

Randall is registered as a RR (Registered Representative) and started their career in finance in 1988. Randall has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Randy Mabry

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Randall Scott Mabry's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 11, 2001 - Present

CAPITAL MANAGEMENT OF THE CAROLINAS, LLC

Office #1: 1520 South Boulevard, Suite 230, Charlotte, NC 28203Office #2: 1520 South Boulevard, Suite 230, Charlotte, NC 28203

CRD#: 110643

Charlotte, NC

Past

April 30, 1998 - April 2, 2001

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

CRD#: 487

CHARLOTTE, NC

Past

September 21, 1994 - April 16, 1998

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

July 19, 1993 - September 26, 1994

STERLING CAPITAL DISTRIBUTORS, INC.

CRD#: 10705

CHARLOTTE, NC

Past

July 22, 1991 - July 6, 1993

WACHOVIA SECURITIES, INC.

CRD#: 431

CHARLOTTE, NC

Past

May 25, 1988 - December 18, 1990

WACHOVIA SECURITIES, INC.

CRD#: 431

CHARLOTTE, NC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

North Carolina
(5/14/2001)

Exams

State Security Law Exam

Series 63

Date: 6/13/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/21/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/27/1996

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CAPITAL MANAGEMENT OF THE CAROLINAS, LLC

CRD#: 110643 / SEC#: , 8-53149

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1520 South Boulevard, Suite 230, Charlotte, NC 28203

Mailing Address

1520 South Boulevard, Suite 230, Charlotte, NC 28203

Phone number

(704) 332-3131

Established

North Carolina since 11/15/2000

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
MORIN, MICHAEL LEWIS	PARTNER/VICE PRESIDENT	2951550
RIVERS, JAMES CALVIN JR	PARTNER	1067542
THE KENNETH LEE CARTER, JR. REVOCABLE TRUST	TRUST
DOUGLASS, REBECCA GENTRY	PARTNER	1213829
CARTER, KENNETH LEE JR	PARTNER/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/TRUSTEE	2822127
YAGER, SHERRI LYNN	CHIEF COMPLIANCE OFFICER	2660363

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Advisor Monitoring

Firm Stability Insights

Randall S. Mabry

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Randall Scott Mabry's CRS (Customer Relationship Summary).

Certified licenses

Experience

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

FIRST UNION BROKERAGE SERVICES, INC.

STERLING CAPITAL DISTRIBUTORS, INC.

WACHOVIA SECURITIES, INC.

WACHOVIA SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/13/1988

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/21/1988

Series 24

Date: 9/27/1996

FINRA

Current Firm

CAPITAL MANAGEMENT OF THE CAROLINAS, LLC

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

CAPITAL MANAGEMENT OF THE CAROLINAS, LLC

TRUST BUT VERIFY

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