CARROLL FINANCIAL ASSOCIATES, INC. Information

4201 CONGRESS STREET, SUITE 210, CHARLOTTE, North Carolina, 28209, (704) 553-8006

Report Date: 12/31/2013

Position Statistics

Total Positions 1,024
New Positions 105
Increased Positions 255
Decreased Positions 279
Positions with Activity 534
Sold Out Positions 101
Total Mkt Value (in $ millions) 285

Institutional Holdings information is filed by major institutions on form 13-F with the Securities and Exchange Commission.

Sector Weighting

Basic Materials 4.86%
Capital Goods 1.52%
Conglomerates 0%
Consumer Cyclical 0.59%
Consumer/Non-Cyclical 3.58%
Energy 9.34%
Financial 45.1%
Healthcare 6.58%
Services 7.45%
Technology 9.06%
Transportation 1.07%
Utilities 5.53%

1,024 Positions as of 12/31/2013

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
ISHARES TR USA MIN VOL ETF 25,024 4,516 22.02 700,364
EXXON MOBIL CORP COM 16,703 1,412 9.24 169,267
POWERSHARES ETF TRUST FTSE RAFI 1000 13,036 -2,303 (15.01) 155,886
JOHNSON & JOHNSON COM 10,600 -1,293 (10.87) 106,853
JPMORGAN CHASE & CO ALERIAN ML ETN 9,632 -305 (3.07) 202,132
MICROSOFT CORP COM 9,435 -857 (8.33) 237,361
BERKSHIRE HATHAWAY INC DEL CL B NEW 8,014 -603 (6.99) 64,748
SPDR S&P 500 ETF TR TR UNIT 7,980 623 8.47 43,325
ISHARES TR MSCI USAMOMFCT 7,102 4,118 137.98 121,395
DOW CHEM CO COM 6,712 418 6.65 141,093
APPLE INC COM 6,664 -677 (9.23) 12,866
GENERAL ELECTRIC CO COM 6,652 -514 (7.18) 257,646
SPECTRA ENERGY CORP COM 6,468 207 3.30 166,704
HATTERAS FINL CORP COM 5,878 -4,067 (40.9) 298,516
JPMORGAN CHASE & CO COM 5,089 -721 (12.41) 92,860
PARK STERLING CORP COM 4,756 1,882 65.45 714,152
POWERSHARES GLOBAL ETF TRUST DEV MKTS EX-US 4,107 713 20.99 94,208
DUKE ENERGY CORP NEW COM NEW 3,361 -153 (4.37) 46,168
PFIZER INC COM 3,163 -324 (9.3) 105,811
BANK OF AMERICA CORPORATION PFD PER1/1000E 2,891 394 15.76 130,357


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