Business Description

Carolina Financial Services Group is an independent financial services firm located in Greenville, NC. We believe in order to achieve any financial goal, the best plan should incorporate an offensive and a defensive strategy.

The discipline we follow is simple but powerful. We help clients make risk vs reward decisions about their investments. We believe preserving money is just as important as making it.

General Information

Gender:

Male

CRD#:

2128682

Firm CRD#:

23131

Insurance License#:

6599933

Name of Broker/Dealer:

Royal Alliance Associates

Name of Custodial Firm:

Pershing LLC

States Licensed in:

FL, GA, NC, SC

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Businesses, Individual Investors, Non-Profit Organizations

Education

Academic Background

BA in Biology/Pre-Med

Services

Investment Types:

Options & Futures, Mutual Funds, Insurance, Annuities, Stocks, Bonds, Exchange Traded Funds (ETFs)

Qualifications & Memberships

Certifications, Accreditations & Designations:

Chartered Retirement Plans Specialist (CRPS®), Accredited Investment Fiduciary® (AIF)

Securities Licenses:

Series 63, Series 7, Series 65

Insurance and Annuity Licenses:

Long Term Care, Variable Annuity, Annuity, Life

Firm Information

Number of Advisors in Office:

Up to 10 employees

I work with clients as part of a team:

Yes

Firm's Number of Clients:

300

Compliance

Registered Investment Advisor:

Yes

Investment Advisor Representative:

Yes

I am an acknowledged fiduciary:

Yes

Compliance Disclosures in Last 5 years:

I have a clean record

Criminal Disclosures in Last 5 years:

I have a clean record

Compensation & Fees

Fee Structure:

I am a fee-based financial professional

Minimum Portfolio Size for New Managed Accounts:

$150000

Compensation Methods:

Based on Assets, Commissions, Flat Fee

Fee % Based on Assets:

1.25%

Prepared By:

Michael C. Owens