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Institutional Investment Manager
Carroll Financial Associates, Inc.
Carroll Financial Associates, Inc. (CIK: 0001567784) incorporated in North Carolina, located at 4521 Sharon Road, Charlotte, NC. Institutional holdings reported to the SEC.

Institutional Holdings (2016Q4)
Portfolio Summary: 1,237 holdings with a total value of $700,831,000.
#
Name
Shares
Value ($)
%
Options
Notes
1151 COMMERCEHUB INC COM SER A 21 0 0.00%
1152 VERITIV CORP 5 0 0.00%
1153 SPROUTS FMRS MKT INC 46 0 0.00%
1154 HSN Inc 11 0 0.00%
1155 MEMORIAL PRODTN PARTNERS LP 2,230 0 0.00%
1156 ACTUA CORP 1 0 0.00%
1157 SANOFI 42 0 0.00%
1158 UBS AG 48 0 0.00%
1159 LIVE NATION, INC. 16 0 0.00%
1160 SAN JUAN BASIN RTY TR 150 0 0.00%
1161 COMMUNITY HEALTH SYS INC NEW 189 0 0.00%
1162 ATLAS ENERGY GROUP LLC COM 117 0 0.00%
1163 CHANTICLEER HLDGS INC WT EXP 061117 2,666 0 0.00%
1164 LIBERTY GLOBAL PLC 16 0 0.00%
1165 STAMPS COM INC COM NEW 4 0 0.00%
1166 PARSLEY ENERGY CLA A 24 0 0.00%
1167 NEWS CORP CL A 41 0 0.00%
1168 LIBERTY MEDIA CORP DELAWARE COM A BRAVES GRP 23 0 0.00%
1169 FCB FINL HLDGS INC CL A 10 0 0.00%
1170 FINISAR CORP 1 0 0.00%
1171 SCHWAB U.S. REIT ETF 8 0 0.00%
1172 BALLARD PWR SYS INC NEW 600 0 0.00%
1173 COMMERCEHUB INC COM SER C 44 0 0.00%
1174 SCHWAB STRATEGIC TRUST SCHWAB FUNDAMENTAL EMERG 29 0 0.00%
1175 FUELCELL ENERGY INC 8 0 0.00%
1176 SCHWAB U.S. SMALL-CAP ETF 7 0 0.00%
1177 WISDOMTREE TR 16 0 0.00%
1178 LIFEPOINT HEALTH INC 1 0 0.00%
1179 WEBMD HEALTH CORP 3 0 0.00%
1180 TELEFLEX INC 1 0 0.00%
1181 ISHARES TR 0 0 0.00%
1182 SCHWAB STRATEGIC TRUST SCHWAB FUNDAMENTAL INTL 29 0 0.00%
1183 DEUTSCHE HIGH INCOME OPPORT FD 50 0 0.00%
1184 EDISON INTL 12 0 0.00%
1185 CELSION CORPORATION COM PAR 563 0 0.00%
1186 CLAYMORE EXCHANGE TRD FD TR 0 0 0.00%
1187 ISHARES TR 2 0 0.00%
1188 SEASPINE HLDGS CORP COM 4 0 0.00%
1189 INVESCO ADVANTAGE MUN INCOME 0 0 0.00%
1190 NOBLE CORP PLC 150 0 0.00%
1191 TUTOR PERINI CORP 5 0 0.00%
1192 NEW ENERGY SYS GROUPCOM 30 0 0.00%
1193 SCHWAB INTERNATIONAL SMALL-CAP EQUITY ETF 12 0 0.00%
1194 KINDER MORGAN INCORPORATED DEL WARRANT EXP 052517 2,184 0 0.00%
1195 TELEFONAKTIEBOLAGET LM ERICS 60 0 0.00%
1196 SEQUENTIAL BRNDS GROUP INC N 6 0 0.00%
1197 PIPER JAFFRAY COS 4 0 0.00%
1198 PUTNAM MASTER INTER INCOME T 60 0 0.00%
1199 KIMCO RLTY CORP 24 0 0.00%
1200 PROTHENA CORP PLC 1 0 0.00%
Page 24 of 25

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0000909012-17-000003, filed 2017.01.11).

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.