Unclaimed Profile

Michael Anthony Mullen

B. RILEY WEALTH PRIVATE SHARES, LLC·MEMPHIS, Tennessee

SIE, Series 4, Series 7, Series 24, Series 63, Series 65, Series 99TO14 years registeredB. RILEY WEALTH PRIVATE SHARES, LLC

40 S. MAIN ST., MEMPHIS, TN 38103CRD# 1428116Firm CRD# 315851

Profile Verification

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

Identity

Michael Anthony Mullen · MEMPHIS, TN

Registration

CRD #1428116 · B. RILEY WEALTH PRIVATE SHARES, LLC · 14 years registered

Brand Profile

Not yet started

Career History

B. RILEY SECURITIES, INC.

Apr 2026 – present

B. RILEY WEALTH PRIVATE SHARES

Apr 2023 – present

B. RILEY WEALTH ADVISORS, INC.

Jan 2012 – present

B RILEY WEALTH MANAGEMENT

Mar 2021 – Dec 2022

Boca Raton, FL

Registrations & Exams

FINRA examinations passed

SIE

Series 4

Series 7

Series 24

Series 63

Series 65

Series 99TO

Registration record

First registered · January 13, 2012

Years registered · 14

Disclosure History

1996Customer Dispute·Award / Judgment

1990Regulatory·Final

2 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

B. RILEY WEALTH PRIVATE SHARES, LLC

CRD 315851 · SEC 801-122228

AUM

$297M

Regulatory assets under management

Employees

9 client accounts

Services offered by B. RILEY WEALTH PRIVATE SHARES, LLC

Per Form ADV

Pension consulting

Client types served by the firm

Per Form ADV

Pension & Retirement Plans

View all advisors at B. RILEY WEALTH PRIVATE SHARES, LLC →

Introduction

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Frequently Asked Questions

What services does Michael Anthony Mullen offer?

Michael Anthony Mullen specializes in Retirement Planning. Contact their office in MEMPHIS, Tennessee for a consultation.

What are Michael Anthony Mullen's credentials?

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

Where is Michael Anthony Mullen located?

Michael Anthony Mullen is based in MEMPHIS, Tennessee, working with B. RILEY WEALTH PRIVATE SHARES, LLC. Their office serves clients in the MEMPHIS metropolitan area and surrounding communities.

How does Michael Anthony Mullen charge for services?

Michael Anthony Mullen's firm is compensated through percentage of aum, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is B. RILEY WEALTH PRIVATE SHARES, LLC?

B. RILEY WEALTH PRIVATE SHARES, LLC has approximately 13 employees and manages $297M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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