Carlos D. Rul-lan
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.
Carlos Damian Rul-lan II, who also goes by Carlos D Rullan II, Carlos Damian Rullan Ii, was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 2001. Carlos had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2008 - June 29, 2023
AMERICAN CAPITAL MANAGEMENT, INC.
October 30, 2007 - June 29, 2023
AMERICAN EQUITY INVESTMENT CORPORATION
December 1, 2006 - October 25, 2007
QUESTAR CAPITAL CORPORATION
June 20, 2006 - December 11, 2007
QUESTAR ASSET MANAGEMENT, INC.
August 23, 2004 - July 18, 2006
USALLIANZ SECURITIES, INC.
August 18, 2004 - December 1, 2006
USALLIANZ SECURITIES, INC.
January 6, 2004 - August 26, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 26, 2002 - August 26, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 2, 2001 - May 28, 2002
NEW ENGLAND SECURITIES
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
AMERICAN CAPITAL MANAGEMENT, INC.
CRD#: 122452 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 435 |
| AUM (Assets Under Management) | $ 78,724,000 |
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.
