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Carolina Capital Markets

Carolina Capital Markets


Last Updated : 4/18/2008 3:09:10 PM



Who We Are

Carolina Capital Markets, Inc. is a broker/dealer specializing in fixed income products and client commission services for institutional clients. The firm was founded in 1994 and is a fully-disclosed clearing correspondent of First Clearing LLC, a subsidiary of Wachovia Corporation. As a provider of Bloomberg and other services, we help fixed income management firms reduce or eliminate research and analytic costs through the compliant and transparent use of client commission arrangements under Section 28(e) of the Exchange Act.

In the secondary fixed income market, we believe that “best execution” is a key to Section 28(e) compliance. CCM’s senior traders have years of experience and extensive contacts on the Street; we work every trade to help you get best execution. In keeping with the guidelines of 28(e), we work on an agency basis, with fully disclosed commissions.

CCM has developed a proprietary database, encompassing the whole universe of high-grade corporate, agency, and asset-backed bonds, that allows its sales force to quickly locate the best bids and offers.

How We're Different

CCM provides its clients with access to searchable databases of corporate, agency, mortgage and asset backed offerings, comprising the inventories of over 80 fixed income dealers.

As a non-positioning dealer, CCM's concern is to help you find bonds that meet YOUR needs, not those of a proprietary trading desk. Moreover, we work to get you the best possible execution on both bids and offers.

At other firms, brokers take an order and pass it off to a busy trader for execution. But your Carolina Capital sales person talks directly to the Street. We believe this is a more cost-effective trading model -- and no one will work your order with more diligence than your own CCM salesperson.


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Key Executives

Tom Shugrue
President, Senior Partner

Keith Mauney
Senior Partner

Patrick Freeland
Chief Executive Officer (CEO)

John L. Landes
Chief Compliance Officer and Municipal Securities Principal

Steve Chaires
Principal, Partner and Senior Trader


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400 Meadowmont Village Circle
Suite 429
Chapel Hill, NC 27517

Telephone: 800.922-6864


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