S Wesley Carpenter

Current Employers

Employment History

• 02/2007 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Fairhope, AL
• 04/2011 → Present
  Bank Of America, N.A.
  Fairhope, AL

Previous Registrations

• 2004-10-29 → 2007-03-09
  Ameriprise Financial Services, Llc
  Birmingham, AL
  Birmingham, AL

Other Businesses

I*558240 For profit or not for profit: Entity For Profit Name of outside business organization: Uptick Group, LLC Investment related: Y Address of business: Point Clear, Alabama, 36564 Nature of business: ["Limited Liability Company"] Position, title, association: ["Owner"], Start date of relationship: 10/20/2021 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , This LLC will hold my real estate which is rental property and land. I*135699 For profit or not for profit: For-Profit Organization Name of outside business organization: Coastal Trading Company, LLC d/b/a Finco Investment related: N Address of business: Fairhope, Alabama 36532 Nature of business: Partnership, Position, title, association: Owner, Start date of relationship: 1/29/2021 Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: I am buying into a LLC that is in the business of fishing shirts and hats. This is a domestic company. I will be a 25 percent owner of the company. I*973626 For profit or not for profit: Entity Charitable Name of outside business organization: Community Foundation of South Alabama Investment related: N Address of business: Mobile, Alabama, 36602 Nature of business: ["Charitable Organization"] Position, title, association: ["Board Member"], Start date of relationship: 9/1/2022 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 1 Duties: This is a Community Foundation designed to help and support other non-profits organizations in the community. I am board member that gets a vote on some financial decisions. I do not hold a financial relationship with the organization. I am only a voting board member OBA ID: 458518 OBA Name: Eastern Shore Chamber of Commerce Start Date: 1/5/2024 Location: Fairhope AL Role: Board Member Investment Related Activity: No Duties: I have been selected for the Board of Directors to the Eastern Shore Chamber of Commerce along with 20 other members. I will be Chairman of the Board so I will have to make some financial decision approved by the board and sign off on some documents. The executive director will make day to day decisions I*481559, Entity Type: PA, Name of OBA: Coastal Alabama Partnership, Address: Mobile, Alabama, 36602, Investment Related: N, Position, Title, Association: Other, Employee State Date: 02/08/2021, No Hours: 1 Monthly, No Hours during Trading: 1 Monthly, Duties: I am a member of the Coastal Alabama Partnership. Inside that organization, they have a Regional Advisory Committee that just provides local knowledge around political candidates running for office in my geographical area.

Exams

• S66 Uniform Combined State Law Examination
  2004-10-04

Other Names

• Stephen Wesley Carpenter
• S. Wesley Carpenter
• S. Wesley Carpenter