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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Beth Nulman is a financial advisor with Hightower Advisors, LLC. Carol Beth has over 39 years of experience in the financial services industry. Carol Beth is registered with the Financial Industry Regulatory Authority (FINRA) and is a registered investment advisor in Rhode Island. Carol Beth has a Series 7, Series 63 and Series 65 license. Carol Beth's previous employers include Oppenheimer & Co. Inc., Citigroup Global Markets Inc., Wertheim Schroder & Co. Incorporated, Shearson Lehman/American Express Inc. and Lehman Brothers Kuhn Loeb Incorporated.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
Treasury management for corporate clients
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.
Retainer or service fees or some combination of 1, 2, 4, 5 & 7
1
2
RI
04/20/2015 - Present
Hightower Advisors, LLC (PROVIDENCE RI)
NY
04/16/2009 - 04/20/2015
OPPENHEIMER & CO. INC. (NEW YORK NY)
RI
03/05/1992 - 05/05/2009
CITIGROUP GLOBAL MARKETS INC. (PROVIDENCE RI)
NY
07/23/1984 - 03/17/1992
WERTHEIM SCHRODER & CO. INCORPORATED (NEW YORK NY)
NA
03/14/1983 - 08/07/1984
SHEARSON LEHMAN/AMERICAN EXPRESS INC.
NA
03/01/1983 - 06/27/1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
IA
Issued 05/03/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/11/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/19/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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