Carol J. Bullen
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Carol Jo Bullen, who also goes by C J Bullen, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1983. Carol had worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2000 - July 25, 2022
CADARET, GRANT & CO., INC.
September 4, 1998 - October 18, 2000
KEYBANC CAPITAL MARKETS INC.
September 25, 1986 - September 4, 1998
ESSEX CAPITAL MARKETS, INC.
March 27, 1986 - March 5, 1987
FIRST PUBLIC SECURITIES, INC.
November 22, 1985 - February 18, 1986
NATHAN & LEWIS SECURITIES, INC.
June 22, 1983 - March 17, 1986
HORNOR, TOWNSEND & KENT, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
