Carter Lee Baumert

Current Employers

Employment History

• 02/2004 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Oklahoma City, OK
• 05/2010 → Present
  Bank Of America, N.A.
  Oklahoma City, OK

Previous Registrations

• 1993-07-31 → 2004-02-27
  Citigroup Global Markets Inc.
  Oklahoma City, OK

Other Businesses

I*136601For profit or not for profit: For-Profit OrganizationName : CB Party of 5, LLCInvestment related: NAddress of business:Edmond, Oklahoma 73025Nature of business: LLC,Position, title, association: Family Held, Start date of relationship: 3/5/2021Number of hours devoted: 8 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: 50 owner with my wife. She will be a self owned business that does Custom T Shirts and Sweat Shirts. I*20992FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME : CARTER BAUMERT OIL AND GASINVESTMENT RELATED: YADDRESS OF BUSINESS:EDMOND, OKLAHOMA 73025NATURE OF BUSINESS: OTHER,I OWN MINERALSPOSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 10/30/1979NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: OWNER OPERATE I*74534FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: ARROWHEAD PETROLEUMINVESTMENT RELATED: NADDRESS OF BUSINESS: EDMOND, OKLAHOMA 73003NATURE OF BUSINESS: FAMILY BUSINESS,POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 6/26/2014NUMBER OF HOURS DEVOTED: 1 HOUR(S) QUARTERLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: CO OWNER- QUARTERLY MEETINGS I*20994FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: THE PANHANDLERSINVESTMENT RELATED: NADDRESS OF BUSINESS:EDMOND, OKLAHOMA 73025NATURE OF BUSINESS: OTHER,MUSIC FOR EVENTSPOSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 1/1/1995NUMBER OF HOURS DEVOTED: 1 HOUR(S) QUARTERLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: OWNER BAND LEADER I*121739For profit or not for profit: Non-Profit OrganizationName of outside business organization: Latino Community Development AgencyInvestment related: NAddress of business: Oklahoma City, Oklahoma 73109Nature of business: Charitable Organization,Position, title, association: , Start date of relationship: 3/19/2019Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0Duties: Board Membership, Board Development I*2415301, Entity Type: , Name of OBA: MR C B ADMIN EST OF EST L M, Address: Edmond, Oklahoma, 73025, Investment Related: N, Position, Title, Association: Administrator, Executor, Employee State Date: 04/10/2025, No Hours: 100 Yearly, No Hours during Trading: 4 Yearly, Duties: I*1645268, Name of OBA: L M Address: Oklahoma City, Oklahoma, 73120,US Investment Related: No Position, Title, Association: Executor, Power of Attorney Employee Start Date: 12/28/2023 No Hours: 3 No Hours during trading: 1 Duties: My Aunt, L M, wants me to have POA. Also, she wants me to be her executor. I*123584 For profit or not for profit: For-Profit OrganizationName of outside business organization: Family Core LLC Investment related: Y Address of business:Edmond, Oklahoma 73025Nature of business: LLC,Position, title, association: Other, Investor in Commercial Real Estate Start date of relationship: 5/23/2019Number of hours devoted: 0 hour(s) AnnuallyNumber of hours devoted during trading hours: 0Duties: This is meant to be a holding company for investments in GLM specifically.

Exams

• S65 Uniform Investment Adviser Law Examination
  2004-06-22
• S63 Uniform Securities Agent State Law Examination
  1987-12-29