Carol Nulman
Carol Nulman is a registered investment advisor at Robertson Stephens, based in South Kingstown, RI, with 43 years of industry experience. Carol operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, High Net Worth, Insurance Planning, Investment Management, and 2 more. Their firm serves 2,060 clients with $7.1B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Robertson Stephens charges a percentage of your portfolio to manage your investments. The exact percentage is negotiable and depends on the size and complexity of your account, but typically ranges from 0.10% to 2% per year. The fee is calculated based on the value of your investments at the end of each calendar quarter and is typically deducted directly from your account.
Location
50 S County Commons Way, Unit E6, South Kingstown, RI, 02879
Get directionsHistory
Regulatory History (5)
Customer Dispute
January 2010Customer Dispute
July 2009Customer Dispute
February 2008Customer Dispute
August 1999Customer Dispute
April 1991Other Business Activities
Carol serves as a trustee or co-trustee for various trusts, including the Thomas Sauermilch Irrevocable Trust and the Ida Barak Sauermilch Irrevocable Trust, spending minimal time on these duties. She also manages Rose Harbor LLC and Bleachery Court LLC, dedicating about 10-20% of her time to each, and is a limited partner in CBI LLC, owning baseball teams and sports rights, while also acting as a trustee for The Nulman Foundation and advising a local TV provider, dedicating about 10-20% of her time and minimal time respectively.
Employment History
Current Registrations
Robertson Stephens
Robertson Stephens Capital Markets, LLCBroker
Previous Registrations
Robertson Stephens
Hightower Securities, LLCBroker
Hightower Advisors, LLC
Oppenheimer & CO. INC.
Oppenheimer & CO. INC.Broker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Wertheim Schroder & CO. IncorporatedBroker
Shearson Lehman/american Express INC.Broker
Lehman Brothers Kuhn Loeb IncorporatedBroker
State Registrations3 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.