Carol Nulman, financial advisor Providence RI
83 score

Carol Nulman

CRD Number: 1091886
Current Firm: Hightower Advisors, LLC

Carol Nulman (CRD# 1091886) is an Investment Advisor Representative working at Hightower Advisors, LLC in Providence, RI and has over 33 years of experience in the finance industry.

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Company Name Location Dates Years
Hightower Securities, LLC Providence, RI Apr 2015 - Current 1
Hightower Advisors, LLC Providence, RI Apr 2015 - Current 1
Oppenheimer & Co Providence, RI Apr 2009 - Apr 2015 6
Citigroup Global Markets Inc. Providence, RI Feb 1992 - Apr 2009 17
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Mar 1983
S65 NASAA Investment Advisors Law Examination May 2005
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Carol B. Nulman
Phone Number: 312-962-3800
Registered State(s):
  • RI
By the Numbers
  • Total Assets Under Management
    24,600
    MILLIONS
  • Total Number of Accounts
    47,650
    ACCOUNTS
  • Average Account Value
    $516,264
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
83

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