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FIRM PROFILE
Overview
CAROFIN, LLC is located at 100 Elks Club Rd., Brevard, NC 28712 and was first established at Atlanta, North Carolina in 05/03/2018. After operating for 7 years, CAROFIN, LLC has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of CAROFIN, LLC’s clients are individuals and 0% of their clients are high net worth individuals. CAROFIN, LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at CAROFIN, LLC are registered to handle securities or provide financial advice. The firm has 0 disclosures, 0 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access CAROFIN, LLC‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at CAROFIN, LLC. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for CAROFIN, LLC Comes From
Understanding the Statistics for CAROFIN, LLC and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
100 Elks Club Rd., Brevard, NC 28712
100 Elks Club Rd., Brevard, NC 28712
Small
(828) 393-0088
North Carolina since 05/03/2018
Limited Liability Company
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | CRD# |
|---|---|---|---|
| CAROLINA FINANCIAL SECURITIES, LLC | MEMBER - COMMON | 41970 | |
| CAROFIN HOLDINGS, INC. | MEMBER - COMMON | ||
| DRAKE, PHILIP CALVIN | MEMBER - PREFERRED | ||
| STAR, JOSHUA S. | MEMBER - PREFERRED | 3244678 | |
| GILMORE, NICHOLAS CRAIG | CTO, COO-CFO AND FINOP | 5181593 | |
| MILHAUPT, PETER STUART | MANAGER | 728310 | |
| ROBERTS, BRUCE VICTOR | CCO | 1489110 |
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Advisor's working at CAROFIN, LLC
Garrick G Ruiz
Bruce Victor Roberts
Bruce Buckley Smith
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