Unclaimed Profile

Richard Sholes Mullen

PALLAS CAPITAL ADVISORS, LLC·BRAINTREE, Massachusetts

SIE, Series 7, Series 31, Series 63, Series 65, Series 79TOClean record19 years registeredPALLAS CAPITAL ADVISORS, LLC

45 BRAINTREE HILL OFFICE PARK, BRAINTREE, MA 02184CRD# 2402432Firm CRD# 310327

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Richard Sholes Mullen · BRAINTREE, MA

Registration

CRD #2402432 · PALLAS CAPITAL ADVISORS, LLC · 19 years registered

Brand Profile

Not yet started

Career History

PALLAS CAPITAL ADVISORS, LLC

Nov 2020 – present

GOSS ADVISORS

Jul 2019 – Dec 2020

BRAINTREE, MA

UBS FINANCIAL SERVICES INC.

Mar 2011 – Jul 2019

ROCKLAND, MA

MORGAN STANLEY SMITH BARNEY LLC

Jun 2009 – Mar 2011

BOSTON, MA

MORGAN STANLEY & CO. INCORPORATED

Jan 2007 – Jun 2009

BOSTON, MA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 31

Series 63

Series 65

Series 79TO

Registration record

First registered · January 25, 2007

Years registered · 19

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

PALLAS CAPITAL ADVISORS, LLC

CRD 310327 · SEC 801-119646

AUM

$3.0B

Regulatory assets under management

Employees

3,566 client accounts

Services offered by PALLAS CAPITAL ADVISORS, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at PALLAS CAPITAL ADVISORS, LLC →

Introduction

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Frequently Asked Questions

What services does Richard Sholes Mullen offer?

Richard Sholes Mullen specializes in Financial Planning, Investment Management. Contact their office in BRAINTREE, Massachusetts for a consultation.

What are Richard Sholes Mullen's credentials?

Richard Sholes Mullen is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Richard Sholes Mullen located?

Richard Sholes Mullen is based in BRAINTREE, Massachusetts, working with PALLAS CAPITAL ADVISORS, LLC. Their office serves clients in the BRAINTREE metropolitan area and surrounding communities.

How does Richard Sholes Mullen charge for services?

Richard Sholes Mullen's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is PALLAS CAPITAL ADVISORS, LLC?

PALLAS CAPITAL ADVISORS, LLC has approximately 30 employees and manages $3.0B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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