Carolina Financial Securities, LLC and Carofin, LLC (“CFS” and “Carofin”, respectively) are affiliated broker-dealers registered with the Securities and Exchange Commission and members of FINRA and SIPC. The fees and services broker-dealers offer differ across the industry and it is important for you to understand such differences.

Free and simple tools to research firms and financial professionals are available at, which also provides educational materials about broker-dealers, investment advisers, and investing.

You will find certain pertinent questions you may ask us when first establishing a relationship listed as “conversation starters” below. We invite you to visit our Knowledge Base for educational materials on private investments.

Form CRS – October 12th, 2020, Ver. 2.0


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