David Thomas Mullen

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Contact Information

Email

xxxxx@xxxx.xxx

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Disclosures on record.

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.

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Years of Experience

38 years registered in the securities industry

Current & Past Employments

Current

COLLIERS SECURITIES LLCCurrent·CRD# 7477

RIA

BD

1. Fort Myers, FL2. 90 South Seventh Street, Suite 3300, Minneapolis, MN 55402

November 30, 2012 - Present

Past

COLLIERS SECURITIES LLCPast·CRD# 7477

RIA

Minneapolis, MN

June 24, 2014 - January 2, 2024

PIPER SANDLER & CO.Past·CRD# 665

BD

Minneapolis, MN

September 22, 1998 - March 22, 2012

U.S. BANCORP INVESTMENTS, INC.Past·CRD# 17868

BD

Saint Paul, MN

October 10, 1995 - September 15, 1998

SECURITIES RESOLUTION CORPORATIONPast·CRD# 7119

BD

Minneapolis, MN

January 19, 1988 - October 10, 1995

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Current Firm

COLLIERS SECURITIES LLC

CRD#: 7477 / SEC#: 801-80233, 8-21937

RIA

Registered Investment Advisory firm - SEC (9/25/2014 Approved)

Arizona

Registered Investment Advisory firm - SEC (10/3/2014 Terminated)

California

Registered Investment Advisory firm - SEC (10/20/2014 Terminated)

Florida

Registered Investment Advisory firm - SEC (10/3/2014 Terminated)

Iowa

Registered Investment Advisory firm - SEC (10/6/2014 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (10/13/2014 Terminated)

North Dakota

Registered Investment Advisory firm - SEC (10/3/2014 Terminated)

South Dakota

Registered Investment Advisory firm - SEC (10/3/2014 Terminated)

Texas

Registered Investment Advisory firm - SEC (10/3/2014 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (10/6/2014 Terminated)

BD

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

90 South Seventh Street Suite 4300, Minneapolis, MN 55402-4108

Mailing Address

90 South Seventh Street Suite 3300, Minneapolis, MN 55402-4108

Phone Number

(612) 376-4000

Established

Delaware since 08/19/1997

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

# of Employees

120

SEC notice filing (15 States and Territories)

Registered to provide investment advisory services in 15 US states and territories.

FINRA licenses (52 States and Territories)

Registered to provide investment advisory services in 15 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

20260331 COLLIERS SECURITIES LLC DISCLOSURE BROCHURE (3/31/2026)

Direct owners and executive officers

Name	Position	CRD#
COLLIERS MORTGAGE HOLDINGS LLC	DIRECT OWNER	—
HABLE, DEBORAH MARIE	OPERATIONS MANAGER	1596570
HINIKER, JAMES JOHN III	SVP	2148843
JACOBSON, JEFFREY DUANE	EVP, CHIEF OPERATING OFFICER & BOARD MEMBER	1976541
JURAN, DAVID BRAMLEY	CHAIRMAN OF THE BOARD	2166483
MULLEN, DAVID THOMAS	EVP, BOARD MEMBER	1273590
NORRIS, ROGER ALLAN	SVP, REGISTERED OPTIONS PRINCIPAL	2201413
STEICHEN, THOMAS FRANCIS	EVP, CCO & GENERAL COUNSEL, BOARD MEMBER	6920110
THEIS, CRAIG DANIEL	SVP, BOARD MEMBER	4365341
VAN HANDEL, REBECCA	CHIEF FINANCIAL OFFICER & FINOP	7558187

Regulatory Assets Under Management

Total Number of Accounts

1,055

AUM (Assets Under Management)

$329,636,522

Disclosures

Regulatory Event

25

Arbitration

10

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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) Stinson TIF Partners LLC; investment-related; Mendota Heights, MN; Investment in a TIF note; Part owner and Officer; December 2014; no time devoted to this activity during normal business hours; Secretary/Treasurer.

(2) Timberland Partners Apartment Fund V, LLC; investment-related; Bloomington, MN; apartment real estate investing; Partner & Passive investor; February 2016; no time devoted to this activity; no duties.

(3) Timberland Partners Apartment Fund VIII, LLC; investment-related; Minneapolis, MN; Partnership acquiring and hold apartment projects; Passive partner; May 2021; no time devoted to this activity; no duties.

(4) Timberland Partners Apartment Fund IX, LLC; investment-related; Bloomington, MN; Real estate partnership investing in apartments; Limited partner; February 2022; no time devoted to this activity; no duties.

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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".

COLLIERS SECURITIES LLC

CRD#: 7477 / SEC#: 801-80233, 8-21937

RIA

Registered Investment Advisory firm - SEC (9/25/2014 Approved)

Arizona

Registered Investment Advisory firm - SEC (10/3/2014 Terminated)

California

Registered Investment Advisory firm - SEC (10/20/2014 Terminated)

Florida

Registered Investment Advisory firm - SEC (10/3/2014 Terminated)

Iowa

Registered Investment Advisory firm - SEC (10/6/2014 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (10/13/2014 Terminated)

North Dakota

Registered Investment Advisory firm - SEC (10/3/2014 Terminated)

South Dakota

Registered Investment Advisory firm - SEC (10/3/2014 Terminated)

Texas

Registered Investment Advisory firm - SEC (10/3/2014 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (10/6/2014 Terminated)

BD

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

California
(1/6/2016)

RR

Colorado
(1/6/2016)

RR

Florida
(1/2/2024)

RR

Minnesota
(6/24/2014)

RR

South Dakota
(1/6/2016)

RR

Texas
(1/6/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.