CAROL B. NULMAN
ROBERTSON STEPHENS | Managing Director, Partner
SAN FRANCISCO, CA 94105-2442
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CRD#: 1091886
Professional summary
CAROL BETH NULMAN is a registered financial advisor currently at ROBERTSON STEPHENS located in San Francisco, California and ROBERTSON STEPHENS CAPITAL MARKETS, LLC located in South Kingstown, Rhode Island.
CAROL is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. CAROL has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Biography
Carol Nulman is the Managing Director and Partner of The Nulman Group. Carol has more than twenty years of experience in the financial service industry. Her career began at Lehman Brother Kuhn Loeb where she developed a business based on high net worth individuals and institutional clients. She continued to build upon these relationships as she moved to Wertheim Schroder. When Wertheim merged into the company then known as Salomon Smith Barney, Carol stayed through the transition and remained there until April 2009. For six years, Carol served as the Managing Director-Investments for The Nulman Group at Oppenheimer.
Carol graduated from Boston University’s School of Management with a Bachelor of arts degree and a business concentration. She holds her General Securities Representative License (Series 7), the Uniform Securities Agent State Law Exam (Series 63), and the Uniform Investment Advisor Law Exam (Series 65). She is licensed as an agent for Life, Health and Variable Annuities in the states of: California, Connecticut, Florida, Illinois, Massachusetts, Maryland, Minnesota, New Jersey, New York, Rhode Island, South Carolina, and Washington.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1.) TRUSTEE, CO-TRUSTEE - VARIOUS TRUSTS. HRS. DEVOTED: ONE HOUR PER MONTH. START DATE: 01/24/2011.TRUSTEE OF THOMAS SAUERMILCH IRREVOCABLE TRUST AND TRUSTEE OF IDA BARAK SAUERMILCH IRREVOCABLE TURST. APPROXIMATELY ONE HOUR PER MONTH SPENT PAYHING MAINTENANCE BILLS FOR PROPERTY HELD IN TRUST - NON-TRADING HOURS. 2.)_ ROSE HARBOR LLC BLEACHERY COURT LLC, MANAGER. 15 HOURS PER MONTH ON EACH ENTITTY, NON BUSINESS HOUR, ACOUNTING.INVESTING. 3.) CBI LLC-LIMITED PARTNER-OWN BASEBALL TEAMS IN THE US AND OWN BASEBALL RIGHTS AND SPORTS RIGHTS IN CUBA. DEVOTED: ZERO HRS PER MONTH DURING SECURITIES TRADING HRS. 4.) TRUSTEE-THE NULMAN FOUNDATION-PRIVATE FAMILY FOUNDATION. DEVOTED: 15 HRS PER MONTH TO OBA; 0 HRS DURING TRADING HRS. 5.) Local BTV Investment related. Los Angeles CA. Local TV provider. Advising the board and management team on execution strategies. Start date 05/05/2022. Two hours per month 0 hours during securities trading hours. 6.) Robertson Stephens Wealth Management, LLC; Yes; 455 Market St Ste 1450, San Francisco, CA 94105; Affiliated RIA; Investment Advisor Representative; October 2025; 165; 132; Investment Advisor 7.) Robertson Stephens Capital Markets, LLC; Yes; 50 S County Commons Way Unit E6, South Kingstown, RI 02879; Broker Dealer; Registered Representative; October 2025; 9; 9; Securities Sales
CRS (Client Relationship Summary) - RIA
Click below to view CAROL BETH NULMAN's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 9, 2025 - Present
ROBERTSON STEPHENS
Office #1: 455 Market Street Ste. 1450, San Francisco, CA 94105-2442Office #2: 50 S County Commons Way, Unit E6, South Kingstown, RI 02879RIA
CRD#: 289977
SAN FRANCISCO, CA
Current
October 7, 2025 - Present
ROBERTSON STEPHENS CAPITAL MARKETS, LLC
Office #1: 50 South County Commons Way E6, South Kingstown, RI 02879BD
CRD#: 290635
South Kingstown, RI
Past
October 7, 2025 - October 8, 2025
ROBERTSON STEPHENS
RIA
CRD#: 289977
SAN FRANCISCO, CA
Past
April 17, 2015 - September 30, 2025
HIGHTOWER ADVISORS, LLC
RIA
CRD#: 145323
PROVIDENCE, RI
Past
April 17, 2015 - September 30, 2025
HIGHTOWER SECURITIES, LLC
BD
CRD#: 116681
PROVIDENCE, RI
Past
April 16, 2009 - April 20, 2015
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
NARRAGANSETT, RI
Past
April 16, 2009 - April 20, 2015
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
May 10, 2005 - May 5, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
PROVIDENCE, RI
Past
March 5, 1992 - May 5, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
PROVIDENCE, RI
Past
July 23, 1984 - March 17, 1992
SCHRODER & CO. INC.
BD
CRD#: 6112
NEW YORK, NY
Past
March 14, 1983 - August 7, 1984
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
March 1, 1983 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
BD
CRD#: 7555
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RS
ROBERTSON STEPHENS
ROBERTSON STEPHENS | ROBERTSON STEPHENS WEALTH MANAGEMENT, LLC
CRD#: 289977 / SEC#: 801-111814
RIA
Registered Investment Advisory firm - (10/11/2017 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
New York(10/7/2025)
IAR
Rhode Island(10/9/2025)
RR
Rhode Island(10/16/2025)
RR
Texas(10/7/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RS
ROBERTSON STEPHENS
ROBERTSON STEPHENS | ROBERTSON STEPHENS WEALTH MANAGEMENT, LLC
CRD#: 289977 / SEC#: 801-111814
RIA
Registered Investment Advisory firm - (10/11/2017 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
455 Market Street Ste. 1450, San Francisco, CA 94105-2442
Mailing Address
Phone number
(415) 500-6810
Established
Firm type
Fiscal year end
# of Employees
113
SEC notice filing (30 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,419 |
| AUM (Assets Under Management) | $ 7,139,384,497 |
Red Flags
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Company Information
ROBERTSON STEPHENS
Managing Director, PartnerCRD#: 289977San Francisco, CA 94105-2442TRUST BUT VERIFY
Monitor CAROL NULMAN
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