Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you S wesley? Claim Your ProfileS Wesley Carpenter is an investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated. S Wesley Carpenter has been in the securities industry since October 29, 2004. S Wesley Carpenter is registered in 53 states and has a Series 3, 7, 9, 10, 31, and 66 license. S Wesley Carpenter previously worked at Ameriprise Financial Services, Inc. and IDS Life Insurance Company. S Wesley Carpenter is a board member of the Community Foundation of South Alabama and the Eastern Shore Chamber of Commerce. S Wesley Carpenter is also the owner of Coastal Trading Company, LLC and Uptick Group, LLC. S Wesley Carpenter provides portfolio management services to individuals and businesses, as well as pension consulting and educational seminars. S Wesley Carpenter's firm, Merrill Lynch, Pierce, Fenner & Smith Incorporated, is a large investment firm with over $1 trillion in assets under management.
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
AL
05/10/2007 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (FAIRHOPE AL)
AL
10/29/2004 - 03/09/2007
AMERIPRISE FINANCIAL SERVICES, INC. (BIRMINGHAM AL)
MN
10/29/2004 - 07/03/2006
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 10/4/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 3/10/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 2/24/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 3/11/2016
Series 3 - National Commodity Futures Examination
BC
Issued 10/6/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 10/26/2004
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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