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Customers, or a lack thereof

Customers, or a lack thereof

by bsmith@carofin.com | Jul 8, 2019 | (Index) Evaluating Issuers, Company Analysis

Sure, there may be 7 billion people in the world with close to 14B legs, but how many of those individuals will stop what they’re doing and switch to this company’s brilliant new brand of pants? Customers, or a lack thereof.  It’s why businesses thrive or eventually...
What to do after you loan money to a private business

What to do after you loan money to a private business

by bsmith@carofin.com | Jul 1, 2019 | (Index) Types of Alternative Investments, Investor Support

We financed a scrap metal dealer once that needed additional working capital to purchase and process scrap because it had high cost overruns in building its large-scale shredding operation.  Let’s just say that experience is everything, and you can learn from ours.  ...
Red Flags in Due Diligence

Red Flags in Due Diligence

by bsmith@carofin.com | Jul 1, 2019 | (Index) Evaluating Issuers, Investor Support

We were approached by a small company in the consumer goods business looking to raise capital to build inventory.  It’s true, experience is everything, and we’re game to share.  In our normal course of conducting due diligence, we discovered that the owner of the...
Regulation Best Interest has been approved, now what?

Regulation Best Interest has been approved, now what?

by bsmith@carofin.com | Jul 1, 2019 | Securities Explained

In the evening of June 5, 2019, the Securities and Exchange Commission approved its final rule regarding Regulation Best Interest and Form CRS.  How will that impact you? The new rules are designed to enhance investor protections while preserving retail investor...
8,000+ locations and $6.1 Trillion Dollars in tax savings

8,000+ locations and $6.1 Trillion Dollars in tax savings

by bsmith@carofin.com | May 28, 2019 | (Index) Securities Explained, Securities Explained

If you’re an accredited investor, you’ve probably heard about Qualified Opportunity Zones (“QOZ”). Here’s a short guide to outline the what’s, why’s and who might consider this investment strategy. What opportunities and challenges do QOZs address? Opportunity zones...
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PRIVATE PLACEMENTS ARE HIGH RISK AND ILLIQUID INVESTMENTS. AS WITH OTHER INVESTMENTS, YOU CAN LOSE SOME OR ALL OF YOUR INVESTMENT.

Securities offered through Carofin, LLC. Carofin, LLC and Carolina Financial Securities, LLC are affiliated Broker-Dealers, Members of FINRA/SIPC, and subsidiaries of Carolina Financial Group, LLC. For more information on the services we offer and details associated with such services, please see our Customer Relationship Summary.

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