Patrick H. Williford

CAROLINA FINANCIAL ADVISORS | Financial Advisor

Greensboro, NC 27403

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CRD#: 7110367

Professional summary

Patrick Halton Williford, who also goes by Patrick Williford, is a registered financial advisor currently at CAROLINA FINANCIAL ADVISORS, INC. located in Greensboro, North Carolina.

Patrick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Patrick has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Patrick Williford

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) - RIA

Click below to view Patrick Halton Williford's CRS (Customer Relationship Summary).

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

March 7, 2024 - Present

CAROLINA FINANCIAL ADVISORS, INC.

Office #1: 100 East Lake Dr. Suite 100, Greensboro, NC 27403

RIA

CRD#: 118823

Greensboro, NC

Past

August 12, 2019 - November 8, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

RALEIGH, NC

Past

July 3, 2019 - November 8, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

RALEIGH, NC

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CAROLINA FINANCIAL ADVISORS, INC.

CRD#: 118823 / SEC#: 801-120773

RIA

Registered Investment Advisory firm - (4/9/2021 Approved)

North Carolina

Registered Investment Advisory firm - (4/22/2021 Terminated)

South Carolina

Registered Investment Advisory firm - (4/19/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

North Carolina
(3/7/2024)

IAR

South Carolina
(1/9/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/8/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/3/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 5/17/2019

Securities Industry Essentials Examination

Current Firm

CAROLINA FINANCIAL ADVISORS, INC.

CRD#: 118823 / SEC#: 801-120773

RIA

Registered Investment Advisory firm - (4/9/2021 Approved)

North Carolina

Registered Investment Advisory firm - (4/22/2021 Terminated)

South Carolina

Registered Investment Advisory firm - (4/19/2021 Terminated)

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Contact information

Main Address

100 East Lake Dr. Suite 100, Greensboro, NC 27403

Mailing Address

Phone number

(336) 333-0176

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAROLINA FINANCIAL ADVISORS ADV PART 2A (4/3/2025)

Regulatory assets under management

Total Number of Accounts	1,034
AUM (Assets Under Management)	$ 211,621,434

Red Flags

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

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Patrick H. Williford

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Halton Williford's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAROLINA FINANCIAL ADVISORS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CAROLINA FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/8/2019

Series 7TO

Date: 7/3/2019

SIE

Date: 5/17/2019

Current Firm

CAROLINA FINANCIAL ADVISORS, INC.

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAROLINA FINANCIAL ADVISORS, INC.

TRUST BUT VERIFY

Contact information

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