# Carolina Financial Securitites, LLC: fundraiser > Carolina Financial Securitites, LLC placed 74 company rounds filed with the SEC, most recently Aug 2025. Who they placed, by sector and size. Source: https://millionrounds.com/providers/carolina-financial-securitites-llc (Millionrounds; every figure on the page links to its filing or article) [Fundraisers](https://millionrounds.com/fundraisers) / Carolina Financial Securitites, LLC Fundraiser Registered broker-dealer # Carolina Financial Securitites, LLC FINRA 41970 ยท placing rounds since Jan 2016 **74** company rounds placed **3** in the last two years, last Aug 2025 **$162M** sold 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. **3** 23Q2 **3** 23Q3 **2** 23Q4 **2** 24Q1 **5** 24Q3 **1** 25Q1 **1** 25Q2 **1** 25Q3 ## What they place - Other Technology **23%** - Agriculture **17%** - Retailing **14%** - Manufacturing **14%** - Coal Mining **11%** - Other **11%** - Other Health Care **10%** ## How big the rounds are - Under $1M **55** - $1M to $5M **26** - $5M to $20M **6** - $20M to $100M **2** - $100M+ **0** ## Where the companies are **NC** 41 **CA** 19 **FL** 14 **KY** 10 **TX** 3 **MN** 1 **MO** 1 **NY** 1 ## Rounds they placed [Company rounds](https://millionrounds.com/providers/carolina-financial-securitites-llc)[Everything, funds and real estate too](https://millionrounds.com/providers/carolina-financial-securitites-llc?show=all) Filed Issuer Industry Sold Aug 2025 SnippetSentry, Inc. Agents: BRUCE VICTOR ROBERTS Other Technology **$1.4M** May 2025 SnippetSentry, LLC Agents: BRUCE VICTOR ROBERTS Other Technology **$774k** Jan 2025 Empower Feeder Holdco, LLC Agents: Bruce V Roberts, Kristen A Dawson Other Technology **$146k** Sept 2024 SnippetSentry, LLC Agents: Bruce Victor Roberts Other Technology **$500k** Jul 2024 DNP Leasing Company, LLC Agents: Bruce B Smith, Bruce V Roberts, Joshua R Greene Business Services **$115k** Jul 2024 Mosaic Distributors, LLC Agents: Bruce V Roberts Retailing **$45k** Jul 2024 Empower Feeder Holdco, LLC Agents: Bruce B Smith, Bruce V Roberts Other Technology **$30k** Jul 2024 Drop Zone Canopy Company, LLC Agents: Bruce B Smith, Bruce V Roberts, Garrick Ruiz Manufacturing **$620k** Mar 2024 Drop Zone Canopy Company, LLC Agents: Bruce B Smith, Bruce V Roberts, Garrick G Ruiz Manufacturing **$925k** Jan 2024 Mosaic Distributors, LLC Agents: Bruce V Roberts Retailing **$100k** Oct 2023 Thynk Health, LLC Agents: Phillip Nash Roberts Other Technology **$70k** Oct 2023 Craftom, Inc. Agents: Bruce B Smith, Garrick G Ruiz, Joshua R Greene Other Technology **$647k** Sept 2023 SnippetSentry, LLC Agents: Bruce V Roberts Other Technology **-** Jul 2023 Azzly, Inc. Agents: Bruce V Roberts Other Health Care **$500k** Jul 2023 KGMade, LLC Agents: Bruce V Roberts, Joshua Reid Greene Manufacturing **$10M** May 2023 Teardown Funding #2,LLC Agents: Bruce B Smith, Bruce V Roberts, Garrick G Ruiz Other Travel **$1.6M** Apr 2023 Drop Zone Canopy Company, LLC Agents: Bruce V Roberts Manufacturing **$677k** Apr 2023 Txtsmarter, LLC Agents: Bruce V Roberts, Garrick G Ruiz Other Technology **$250k** Feb 2023 Berry Capital Management, LLC Agents: Garrick G Ruiz, Joshua R Greene Agriculture **$345k** Jan 2023 Berry Capital Management II, LLC Agents: Bruce V Roberts, Garrick G Ruiz, Joshua R Greene Agriculture **$1.3M** Dec 2022 Quinwood Coal Company, LLC Agents: Bruce V Roberts Coal Mining **$2.0M** Sept 2022 TxtSmarter, LLC Agents: Bruce V Roberts, Phillip Nash Roberts Other Technology **$800k** Jul 2022 Zeus Electric Chassis, Inc. Agents: Bruce V. Roberts Manufacturing **$6.3M** Jul 2022 Airstrike Firefighters, LLC Agents: Nirag C. Shah, Phillip Nash Roberts Other **$750k** Jul 2022 Paradigm Parachute & Defense Inc. Manufacturing **$5.0M** Jun 2022 Teardown Funding #1, LLC Agents: Bruce Buckley Smith, Bruce Victor Roberts, Garrick G Ruiz Other **$3.6M** May 2022 Catalyst Resources LLC Agents: Bruce V Roberts Coal Mining **$250k** Apr 2022 EarLens Corp Other Health Care **$6.0M** Apr 2022 Integra Foods, LLC Agents: Bruce V Roberts Manufacturing **$1.5M** Apr 2022 Paradigm Parachute & Defense Inc. Manufacturing **$1.7M** Mar 2022 Eniware LLC Agents: Bruce V Roberts Other Health Care **$1.0M** Jan 2022 Catalyst Resources LLC Agents: Bruce V Roberts, Phillip Nash Roberts Coal Mining **$100k** Jan 2022 Berry Capital Management, LLC Agents: Bruce B Smith, Bruce V Roberts, Garrick G Ruiz Agriculture **$2.1M** Jan 2022 Catalyst Resources LLC Agents: Bruce Victor Roberts Coal Mining **$1.0M** Dec 2021 Thynk Health, LLC Agents: Bruce Roberts, Garrick Ruiz, Joshua Greene Other Technology **$220k** Oct 2021 Empower Semiconductor, Inc. Agents: BRUCE VICTOR ROBERTS Other Technology **$45M** Oct 2021 Lionfish International, LLC Agents: Bruce V Roberts Agriculture **$150k** Sept 2021 Catalyst Resources LLC Agents: Bruce V Roberts Coal Mining **$800k** Aug 2021 ABP Funding, LLC Agents: Bruce V Roberts, Garrick G Ruiz, Joshua Reid Greene Other **$1.6M** Aug 2021 Catalyst Resources LLC Agents: Bruce V Roberts Coal 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. ## Often on the same rounds Other fundraisers named on the same filings: the firms they syndicate with. [**Brazos Securities, Inc.** 1 round together](https://millionrounds.com/providers/brazos-securities-inc)[**Cabin Securities, Inc** 1 round together](https://millionrounds.com/providers/cabin-securities-inc)[**Carofin, LLC** 1 round together](https://millionrounds.com/providers/carofin-llc)[**Concorde Investment Services, LLC** 1 round together](https://millionrounds.com/providers/concorde-investment-services-llc)[**Lighthouse Capital Group** 1 round together](https://millionrounds.com/providers/lighthouse-capital-group)[**PrimeX** 1 round together](https://millionrounds.com/providers/primex) ## Founders who worked with them No one has said so yet. Worked with them? Say so ## A badge for their site It shows their latest standing in the quarterly rankings and links back here. ## Is this Carolina Financial Securitites, LLC? Claim the page to describe your work in your own words. Free. 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