Fundraisers / Carolina Financial Securitites, LLC
FundraiserRegistered broker-dealer
Carolina Financial Securitites, LLC
FINRA 41970 · placing rounds since Jan 2016
74company rounds placed
3in the last two years, last Aug 2025
$162Msold in the rounds they placed
9.5%typical commission; the median firm takes 4.9%
Named on 83 Form D filings as paid to sell the offering: 74 for operating companies, 1 for funds, 8 for real estate. 16 registered agents named.
Quarter by quarter
Company rounds they placed in each quarter, from the filings.
323Q2323Q3223Q4224Q1524Q3125Q1125Q2125Q3
What they place
- Other Technology23%
- Agriculture17%
- Retailing14%
- Manufacturing14%
- Coal Mining11%
- Other11%
- Other Health Care10%
How big the rounds are
- Under $1M55
- $1M to $5M26
- $5M to $20M6
- $20M to $100M2
- $100M+0
Where the companies are
NC41CA19FL14KY10TX3MN1MO1NY1
Rounds they placed
FiledIssuerIndustrySold
Aug 2025SnippetSentry, Inc.Agents: BRUCE VICTOR ROBERTSOther Technology$1.4M
May 2025SnippetSentry, LLCAgents: BRUCE VICTOR ROBERTSOther Technology$774k
Jan 2025Empower Feeder Holdco, LLCAgents: Bruce V Roberts, Kristen A DawsonOther Technology$146k
Sept 2024SnippetSentry, LLCAgents: Bruce Victor RobertsOther Technology$500k
Jul 2024DNP Leasing Company, LLCAgents: Bruce B Smith, Bruce V Roberts, Joshua R GreeneBusiness Services$115k
Jul 2024Mosaic Distributors, LLCAgents: Bruce V RobertsRetailing$45k
Jul 2024Empower Feeder Holdco, LLCAgents: Bruce B Smith, Bruce V RobertsOther Technology$30k
Jul 2024Drop Zone Canopy Company, LLCAgents: Bruce B Smith, Bruce V Roberts, Garrick RuizManufacturing$620k
Mar 2024Drop Zone Canopy Company, LLCAgents: Bruce B Smith, Bruce V Roberts, Garrick G RuizManufacturing$925k
Jan 2024Mosaic Distributors, LLCAgents: Bruce V RobertsRetailing$100k
Oct 2023Thynk Health, LLCAgents: Phillip Nash RobertsOther Technology$70k
Oct 2023Craftom, Inc.Agents: Bruce B Smith, Garrick G Ruiz, Joshua R GreeneOther Technology$647k
Sept 2023SnippetSentry, LLCAgents: Bruce V RobertsOther Technology-
Jul 2023Azzly, Inc.Agents: Bruce V RobertsOther Health Care$500k
Jul 2023KGMade, LLCAgents: Bruce V Roberts, Joshua Reid GreeneManufacturing$10M
May 2023Teardown Funding #2,LLCAgents: Bruce B Smith, Bruce V Roberts, Garrick G RuizOther Travel$1.6M
Apr 2023Drop Zone Canopy Company, LLCAgents: Bruce V RobertsManufacturing$677k
Apr 2023Txtsmarter, LLCAgents: Bruce V Roberts, Garrick G RuizOther Technology$250k
Feb 2023Berry Capital Management, LLCAgents: Garrick G Ruiz, Joshua R GreeneAgriculture$345k
Jan 2023Berry Capital Management II, LLCAgents: Bruce V Roberts, Garrick G Ruiz, Joshua R GreeneAgriculture$1.3M
Dec 2022Quinwood Coal Company, LLCAgents: Bruce V RobertsCoal Mining$2.0M
Sept 2022TxtSmarter, LLCAgents: Bruce V Roberts, Phillip Nash RobertsOther Technology$800k
Jul 2022Zeus Electric Chassis, Inc.Agents: Bruce V. RobertsManufacturing$6.3M
Jul 2022Airstrike Firefighters, LLCAgents: Nirag C. Shah, Phillip Nash RobertsOther$750k
Jul 2022Paradigm Parachute & Defense Inc.Manufacturing$5.0M
Jun 2022Teardown Funding #1, LLCAgents: Bruce Buckley Smith, Bruce Victor Roberts, Garrick G RuizOther$3.6M
May 2022Catalyst Resources LLCAgents: Bruce V RobertsCoal Mining$250k
Apr 2022EarLens CorpOther Health Care$6.0M
Apr 2022Integra Foods, LLCAgents: Bruce V RobertsManufacturing$1.5M
Apr 2022Paradigm Parachute & Defense Inc.Manufacturing$1.7M
Mar 2022Eniware LLCAgents: Bruce V RobertsOther Health Care$1.0M
Jan 2022Catalyst Resources LLCAgents: Bruce V Roberts, Phillip Nash RobertsCoal Mining$100k
Jan 2022Berry Capital Management, LLCAgents: Bruce B Smith, Bruce V Roberts, Garrick G RuizAgriculture$2.1M
Jan 2022Catalyst Resources LLCAgents: Bruce Victor RobertsCoal Mining$1.0M
Dec 2021Thynk Health, LLCAgents: Bruce Roberts, Garrick Ruiz, Joshua GreeneOther Technology$220k
Oct 2021Empower Semiconductor, Inc.Agents: BRUCE VICTOR ROBERTSOther Technology$45M
Oct 2021Lionfish International, LLCAgents: Bruce V RobertsAgriculture$150k
Sept 2021Catalyst Resources LLCAgents: Bruce V RobertsCoal Mining$800k
Aug 2021ABP Funding, LLCAgents: Bruce V Roberts, Garrick G Ruiz, Joshua Reid GreeneOther$1.6M
Aug 2021Catalyst Resources LLCAgents: Bruce V RobertsCoal Mining$500k
From the SEC's Form D data sets: the issuer named this firm as paid to sell the offering. The latest 40 shown.
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