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Employer firm

Intercarolina Financial Services, Inc. CRD 19475

$85.4M regulatory AUM 271 advisory clients

Reported services (Item 5G)

  • Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

Current Employers
Intercarolina Financial Services, Inc.

3300 Battleground Avenue Suite 202, Greensboro, NC 27410 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2026-03-05
GA RA APPROVED 2025-10-03
CA RA APPROVED 2025-10-02
  • FL RA
    APPROVED
    Since 2026-03-05
  • GA RA
    APPROVED
    Since 2025-10-03
  • CA RA
    APPROVED
    Since 2025-10-02

Branch Locations

3300 Battleground Avenue Suite 202, Greensboro, NC 27410-2447 • UNITED STATES

Sandy Springs, GA • United States

3300 Battleground Avenue Suite 202, Greensboro, NC 27410 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Wrs Atlanta GA 05/2005 Present
Dempsey Lord Smith, Llc Rome GA 10/2014 Present
Intercarolina Financial Services Inc. Greensboro NC 10/2025 Present
Previous Registrations
  • 2014-11-03 → 2025-10-07
    Atlanta, GA
    Atlanta, GA
    Sandy Springs, GA
    Atlanta, GA
    Port Charlotte, FL
    Rome, GA
    Rome, GA
    Rome, GA
  • 2010-07-26 → 2014-12-31
    Resource Horizons Investment Advisory, Inc.
    Atlanta, GA
Other Businesses

1)WEEKS RETIREMENT SOLUTIONS; NON-INVESTMENT, ACTURIAL CONSULTING;OWNER; HOURLY AND FIXED CHARGE, SINCE 2002 2)WEEKS RETIREMENT SOLUTIONS LLC DBA WRS, INVESTMENT RELATED, FINANCIAL SERVICES, ADVISOR, PAID THROUGH COMMISSIONS, 40 HOURS/WEEK INCLUDING ALL TRADING HOURS. 3)SECAMP ASSOCIATION, NEWFOUND HARBOR INSTITUTE;NO;ADVISE ON PENSION PLAN, REVIEW INVESTMENT PERFORMANCE, VOTE ON BOARD MATTERS; MEMBER OF BOARD OF TRUSTEES;01/01/1997;8;8;I AM A MEMBER OF THE BOARD OF TRUSTEES,PENSION BOARD AND THE FINANCE COMMITTEE. 4) BARNWELL CONSULTING, PLAN DESIGN CONSULTING FOR FORTUNE 500 COM'S FOR POSITIVE TAX RELEIF NO HOURS AT THIS TIME 5)WEEKS FAMILY LIMITED PARTNERSHIP LLC: PASSIVE OWNERSHIP STAKE IN MULTIFAMILY RESIDENTIAL PROPERTY; NO DUTIES/NO TIME SPENT ON THIS ACTIVITY. OWNS 40% 6) W&V LIMITED LLC: PASSIVE OWNERSHIP STAKE IN MULTIFAMILY RESIDENTIAL PROPERTY; NO DUTIES/NO TIME SPENT ON THIS ACTIVITY. OWNS 40% 7)SHERWOOD FOREST; CONSULTING; 60 HRS / MONTH; OWNS 100% 8) BULK NATURAL GAS SALES

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-11-20
  • S66 Uniform Combined State Law Examination
    2009-11-20

View on SEC IAPD

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