Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carter? Claim Your ProfileCarter Lee Baumert is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc.. Carter has been in the securities industry since December 1987. Carter holds both Series 63 and Series 65 licenses. Carter has served as a Registered Representative of several firms, including Citigroup Global Markets Inc. and Lehman Brothers Inc. Carter's previous employment experience includes positions at Bank of America, N.A..
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
OK
02/17/2004 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (OKLAHOMA CITY OK)
NY
07/31/1993 - 02/27/2004
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
04/11/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
12/22/1987 - 04/11/1988
E. F. HUTTON & COMPANY INC
IA
Issued 06/22/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/29/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/09/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/15/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/23/2013
Series 31 - Futures Managed Funds Examination
BC
Issued 12/19/1987
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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