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Michael Anthony Mullen

B. RILEY WEALTH ADVISORS
Red Bank, NJ
·CRD# 1428116·37 years experience

Professional Summary

Michael Anthony Mullen, who also goes by Michael Mullen, is a registered financial advisor currently at B. RILEY WEALTH ADVISORS, INC. located in Red Bank, New Jersey and B. RILEY WEALTH PRIVATE SHARES located in Red Bank, New Jersey. Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Michael has worked at 10 firms and has passed the Series 65, Series 63, Series...

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Michael Mullen

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

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

37 years in the financial services industry

Current & Past Employments

B. RILEY WEALTH ADVISORS, INC.·CRD# 115927
RIA
2-10 Broad St. Suite 203/303, Red Bank, NJ 07701
January 13, 2012 - Present
B. RILEY WEALTH PRIVATE SHARES·CRD# 315851
RIA
2-10 Broad St. Suite 203/303, Red Bank, NJ 07701
April 4, 2023 - Present
B. RILEY WEALTH MANAGEMENT·CRD# 2543
BD
10 Broad Street Suite 203/303, Red Bank, NJ 07701
March 16, 2021 - Present
B. RILEY SECURITIES, INC.·CRD# 25027
BD
1655 Fort Myer Drive Suite 1200, Arlington, VA 22209
April 28, 2026 - Present
B. RILEY WEALTH MANAGEMENT·CRD# 2543
RIA
Boca Raton, FL
March 17, 2021 - December 31, 2022
WINSLOW, EVANS & CROCKER, INC.·CRD# 29686
BD
Boston, MA
January 23, 2020 - June 10, 2021
NATIONAL SECURITIES CORPORATION·CRD# 7569
BD
New York, NY
May 30, 2008 - July 22, 2022
GUNNALLEN FINANCIAL, INC·CRD# 17609
BD
Staten Island, NY
April 12, 2006 - June 6, 2008
JOSEPH STEVENS & CO., INC.·CRD# 35459
BD
Staten Island, NY
April 25, 1994 - April 28, 2006
A.S. GOLDMEN & CO., INC.·CRD# 23180
BD
Red Bank, NJ
August 29, 1991 - May 2, 1994
D. H. BLAIR & CO., INC.·CRD# 6833
BD
New York, NY
August 22, 1989 - August 16, 1991

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Current Firm

BR
B. RILEY WEALTH ADVISORS, INC.

ADVISIUM WEALTH MANAGEMENT LLC | WINSLOW, EVANS & CROCKER | WEST TEXAS INVESTMENTS | UNITED TEAM TAX & FINANCIAL PLANNING | TRADE WINDS WEALTH MANAGEMENT | T.H.E. WEALTH MANAGEMENT | STRATEGIC FAMILY CAPITAL | STONEBRIDGE WEALTH MANAGEMENT. | SISU WEALTH MANAGEMENT | SCHOLAR WEALTH MANAGEMENT | SARNER WEALTH MANAGEMENT LLC | SARATOGA GLOBAL PARTNERS LLC | REC WEALTH MANAGEMENT, LLC. | R.J. CAMPBELL INVESTMENTS LLC | PROATHLETE FINANCIAL GROUP | PRIME WEALTH MANAGMENT | PRICE WEALTH ADVISORY LLC | PRESCOTT FINANCIAL GROUP | PREMIER WEALTH PLANNING | PIRRO FINANCIAL GROUP LLC | PINO WEALTH MANAGEMENT | PADILLA, SINGH & ASSOCIATES WEALTH MANAGEMENT | OPES PRIVATE WEALTH MANAGEMENT | O'CONNELL & ATAROD LLC | NORTHFORK ASSET MANAGEMENT | NORTH SHORE WEALTH MANAGMENT LLC | NATIONAL ASSET MANAGEMENT, INC. | MORRIS FINANCIAL SERVICES | MOORES CREEK CAPITAL PARTNERS | MJB WEALTH MANAGEMENT | MERIDIAN FINANCIAL PARTNERS | MARC-DEANGELO.COM | MANNA WEALTH MANAGEMENT | LODGE WEALTH MANAGEMENT | LIFETIME ADVISORY | LEISCH FINANCIAL SERVICES, INC. | LANDING POINT ADVISORS | LAKESHORE WEALTH GROUP | KEYSTONE FINANCIAL ADVISORS | KENNEY CAPITAL MANAGEMENT LLC | KAPSTONE FINANCIAL ADVISORS | JBT WEALTH MANAGEMENT | JADERLUND INVESTMENTS LLC | IRONSIGHT WEALTH MANAGEMENT LLC | INTEGRITY WEALTH ADVISORS | HYPERION WEALTH ADVISORS | HUNTERS GATE CAPITAL | HORIZON MONETARY MANAGEMENT | HILTON HEAD ASSET MANAGEMENT GROUP | HERITAGE FINANCIAL SOLUTIONS | HEMLOCK WEALTH MANAGEMENT | HAWKE FINANCIAL GROUP | GENEVA FINANCIAL GROUP LLC | GENESIS FINANCIAL GROUP | GADBERRY FINANCIAL GROUP | FORTE CAPITAL GROUP | FINANCIAL CONSULTANT GROUP | FIDUCIARY FINANCIAL SERVICES | ESSENTIAL ADVISORY SERVICES LLC | EJS WEALTH MANAGEMENT | EISNER WEALTH MANAGEMENT | EINSENHAUER WEALTH MANAGEMENT | E K PEASLEE ASSET MANAGEMENT | CONSILIENCE ASSET MANAGEMENT | CONCORD FINANCIAL GROUP LLC | CAM PRIVATE WEALTH SERVICES LLC | BRIMMER FINANCIAL | BRIGADIER CAPITAL LLC | BOLLING WEALTH MANAGEMENT | BLUE MOUNTAIN WEALTH MANAGEMENT | BIAS INVESTMENT SERVICES LLC | BERGERON & PLAUCHE LLC | BASTION FINANCIAL GROUP | B. RILEY WEALTH ADVISORS, INC. | B. RILEY WEALTH | ASTOR INVESTMENT MANAGEMENT | ASSURED CONCEPTS GROUP LTD

CRD#: 115927 / SEC#: 801-64837
RIA
Registered Investment Advisory firm - SEC (11/3/2005 Approved)
Alaska
Registered Investment Advisory firm - Alaska (11/11/2005 Terminated)
California
Registered Investment Advisory firm - California (11/14/2005 Terminated)
Florida
Registered Investment Advisory firm - Florida (11/11/2005 Terminated)
Georgia
Registered Investment Advisory firm - Georgia (11/11/2005 Terminated)
Idaho
Registered Investment Advisory firm - Idaho (11/14/2005 Terminated)
Maryland
Registered Investment Advisory firm - Maryland (11/11/2005 Terminated)
Massachusetts
Registered Investment Advisory firm - Massachusetts (11/11/2005 Terminated)
Missouri
Registered Investment Advisory firm - Missouri (11/11/2005 Terminated)
New York
Registered Investment Advisory firm - New York (11/11/2005 Terminated)
Ohio
Registered Investment Advisory firm - Ohio (11/11/2005 Terminated)
Oregon
Registered Investment Advisory firm - Oregon (11/11/2005 Terminated)
South Carolina
Registered Investment Advisory firm - South Carolina (11/11/2005 Terminated)
Texas
Registered Investment Advisory firm - Texas (11/14/2005 Terminated)
Virginia
Registered Investment Advisory firm - Virginia (11/15/2005 Terminated)
Washington
Registered Investment Advisory firm - Washington (11/11/2005 Terminated)
Wisconsin
Registered Investment Advisory firm - Wisconsin (11/14/2005 Terminated)
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

40 S. Main St. Suite 1600, Memphis, TN 38103

Phone Number

(901) 251-1330

# of Employees

268

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

2025 BRWA ADV 2A FIRM BROCHURE (3/31/2026)
2025 BRWA ADV 2A WRAP FEE BROCHURE (3/31/2026)

Regulatory Assets Under Management

Total Number of Accounts

10,573

AUM (Assets Under Management)

$4,211,631,082

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
08/21/2025Cover PageReport
11/27/2024Cover PageReport

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Other business activities

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) THE BIOTECH GROUP ; INVESTMENT-RELATED; RED BANK, NJ; BRANCH BUSINESS EXPENSES; MANAGING MEMBER; START DATE: 04/2010; 10 HRS/MONTH, 0 DURING TRADING HOURS; I MANAGE MY BRANCH EXPENSES THROUGH MY LLC FOR ACCOUNTING PURPOSES... 2) B. RILEY WEALTH INSURANCE; INVESTMENT-RELATED; RED BANK, NJ; CHAIRMAN, AGENT; INSURANCE SALES; START DATE: 05/2011; 10 HRS/MONTH, ALL DURING TRADING HOURS... 3) MULLEN GROUP PARTNERS, LLC; 3105 QUENTIN RD BROOKLYN, NY; CONSULTING & REAL ESTATE INVESTING; OWNER; 0 HRS/MONTH; NON INVESTMENT-RELATED; INACTIVE... 4) B. RILEY WEALTH TAX SERVICES; NON INVESTMENT-RELATED; SAME ADDRESS AS BRWM; BOARD OF DIRECTORS.... 5) NAM SPECIAL SITUATIONS MANAGMENT LLC; ENTITY SERVES AS THE INVESTMENT MANAGER OF NAM SPECIAL SITUATIONS FUNDS; MANAGING MEMBER; 2 HRS/MONTH, ALL DURING TRADING HRS; INVESTMENT RELATED.... 6) B. RILEY PRIVATE SHARES MANAGEMENT 2022-1, LLC; SAME ADDRESS AS B. RILEY WEALTH; INVESTMENT-RELATED; MEMBER; START DATE 06/2022; ENTITY SERVES AS THE MANAGER OF B. RILEY PRIVATE SHARES FUNDS; 2 HRS/MONTH, DURING TRADING HOURS... 7)B. RILEY WEALTH MANAGEMENT HOLDING, INC; INVESTMENT RELATED; 40 S. MAIN ST SUITE 1600 MEMPHIS TN 38103; CHIEF EXECUTIVE OFFICER; PARENT ENTITY OF ALL B. RILEY WEALTH ENTITIES; START DATE 4/2025; LESS THAN 1 HOUR/MONTH DEVOTED DURING SECURITIES TRADING HOURS.

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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".
BR
B. RILEY WEALTH ADVISORS, INC.

ADVISIUM WEALTH MANAGEMENT LLC | WINSLOW, EVANS & CROCKER | WEST TEXAS INVESTMENTS | UNITED TEAM TAX & FINANCIAL PLANNING | TRADE WINDS WEALTH MANAGEMENT | T.H.E. WEALTH MANAGEMENT | STRATEGIC FAMILY CAPITAL | STONEBRIDGE WEALTH MANAGEMENT. | SISU WEALTH MANAGEMENT | SCHOLAR WEALTH MANAGEMENT | SARNER WEALTH MANAGEMENT LLC | SARATOGA GLOBAL PARTNERS LLC | REC WEALTH MANAGEMENT, LLC. | R.J. CAMPBELL INVESTMENTS LLC | PROATHLETE FINANCIAL GROUP | PRIME WEALTH MANAGMENT | PRICE WEALTH ADVISORY LLC | PRESCOTT FINANCIAL GROUP | PREMIER WEALTH PLANNING | PIRRO FINANCIAL GROUP LLC | PINO WEALTH MANAGEMENT | PADILLA, SINGH & ASSOCIATES WEALTH MANAGEMENT | OPES PRIVATE WEALTH MANAGEMENT | O'CONNELL & ATAROD LLC | NORTHFORK ASSET MANAGEMENT | NORTH SHORE WEALTH MANAGMENT LLC | NATIONAL ASSET MANAGEMENT, INC. | MORRIS FINANCIAL SERVICES | MOORES CREEK CAPITAL PARTNERS | MJB WEALTH MANAGEMENT | MERIDIAN FINANCIAL PARTNERS | MARC-DEANGELO.COM | MANNA WEALTH MANAGEMENT | LODGE WEALTH MANAGEMENT | LIFETIME ADVISORY | LEISCH FINANCIAL SERVICES, INC. | LANDING POINT ADVISORS | LAKESHORE WEALTH GROUP | KEYSTONE FINANCIAL ADVISORS | KENNEY CAPITAL MANAGEMENT LLC | KAPSTONE FINANCIAL ADVISORS | JBT WEALTH MANAGEMENT | JADERLUND INVESTMENTS LLC | IRONSIGHT WEALTH MANAGEMENT LLC | INTEGRITY WEALTH ADVISORS | HYPERION WEALTH ADVISORS | HUNTERS GATE CAPITAL | HORIZON MONETARY MANAGEMENT | HILTON HEAD ASSET MANAGEMENT GROUP | HERITAGE FINANCIAL SOLUTIONS | HEMLOCK WEALTH MANAGEMENT | HAWKE FINANCIAL GROUP | GENEVA FINANCIAL GROUP LLC | GENESIS FINANCIAL GROUP | GADBERRY FINANCIAL GROUP | FORTE CAPITAL GROUP | FINANCIAL CONSULTANT GROUP | FIDUCIARY FINANCIAL SERVICES | ESSENTIAL ADVISORY SERVICES LLC | EJS WEALTH MANAGEMENT | EISNER WEALTH MANAGEMENT | EINSENHAUER WEALTH MANAGEMENT | E K PEASLEE ASSET MANAGEMENT | CONSILIENCE ASSET MANAGEMENT | CONCORD FINANCIAL GROUP LLC | CAM PRIVATE WEALTH SERVICES LLC | BRIMMER FINANCIAL | BRIGADIER CAPITAL LLC | BOLLING WEALTH MANAGEMENT | BLUE MOUNTAIN WEALTH MANAGEMENT | BIAS INVESTMENT SERVICES LLC | BERGERON & PLAUCHE LLC | BASTION FINANCIAL GROUP | B. RILEY WEALTH ADVISORS, INC. | B. RILEY WEALTH | ASTOR INVESTMENT MANAGEMENT | ASSURED CONCEPTS GROUP LTD

CRD#: 115927 / SEC#: 801-64837
RIA
Registered Investment Advisory firm - SEC (11/3/2005 Approved)
Alaska
Registered Investment Advisory firm - Alaska (11/11/2005 Terminated)
California
Registered Investment Advisory firm - California (11/14/2005 Terminated)
Florida
Registered Investment Advisory firm - Florida (11/11/2005 Terminated)
Georgia
Registered Investment Advisory firm - Georgia (11/11/2005 Terminated)
Idaho
Registered Investment Advisory firm - Idaho (11/14/2005 Terminated)
Maryland
Registered Investment Advisory firm - Maryland (11/11/2005 Terminated)
Massachusetts
Registered Investment Advisory firm - Massachusetts (11/11/2005 Terminated)
Missouri
Registered Investment Advisory firm - Missouri (11/11/2005 Terminated)
New York
Registered Investment Advisory firm - New York (11/11/2005 Terminated)
Ohio
Registered Investment Advisory firm - Ohio (11/11/2005 Terminated)
Oregon
Registered Investment Advisory firm - Oregon (11/11/2005 Terminated)
South Carolina
Registered Investment Advisory firm - South Carolina (11/11/2005 Terminated)
Texas
Registered Investment Advisory firm - Texas (11/14/2005 Terminated)
Virginia
Registered Investment Advisory firm - Virginia (11/15/2005 Terminated)
Washington
Registered Investment Advisory firm - Washington (11/11/2005 Terminated)
Wisconsin
Registered Investment Advisory firm - Wisconsin (11/14/2005 Terminated)
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
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
Alabama
(7/22/2022)
RR
Alaska
(7/22/2022)
RR
Arizona
(7/22/2022)
RR
Arkansas
(7/22/2022)
RR
California
(7/22/2022)
RR
Colorado
(7/22/2022)
RR
Connecticut
(7/22/2022)
RR
Delaware
(7/22/2022)
RR
District of Columbia
(7/22/2022)
RR
Florida
(7/22/2022)
RR
Georgia
(7/22/2022)
RR
Hawaii
(7/22/2022)
RR
Idaho
(7/22/2022)
RR
Illinois
(7/22/2022)
RR
Indiana
(7/22/2022)
RR
Iowa
(7/22/2022)
RR
Kansas
(7/22/2022)
RR
Kentucky
(7/22/2022)
RR
Louisiana
(7/22/2022)
RR
Maine
(7/22/2022)
RR
Maryland
(7/22/2022)
RR
Massachusetts
(7/22/2022)
RR
Michigan
(7/22/2022)
RR
Minnesota
(7/22/2022)
RR
Mississippi
(7/22/2022)
RR
Missouri
(7/22/2022)
RR
Montana
(7/22/2022)
RR
Nebraska
(7/22/2022)
RR
Nevada
(7/22/2022)
RR
New Hampshire
(7/22/2022)
IAR
New Jersey
(1/13/2012)
RR
New Jersey
(3/16/2021)
RR
New Mexico
(7/22/2022)
RR
New York
(3/16/2021)
IAR
New York
(6/23/2021)
RR
North Carolina
(7/22/2022)
RR
North Dakota
(7/22/2022)
RR
Ohio
(7/22/2022)
RR
Oklahoma
(7/22/2022)
RR
Oregon
(7/22/2022)
RR
Pennsylvania
(7/22/2022)
RR
Rhode Island
(7/22/2022)
RR
South Carolina
(7/22/2022)
RR
South Dakota
(7/22/2022)
RR
Tennessee
(7/22/2022)
RR
Texas
(7/22/2022)
RR
Utah
(7/22/2022)
RR
Vermont
(7/22/2022)
RR
Virginia
(7/22/2022)
RR
Washington
(7/22/2022)
RR
West Virginia
(7/22/2022)
RR
Wisconsin
(7/22/2022)
RR
Wyoming
(7/22/2022)

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.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Dec 2011About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1989About the Series 63 exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Aug 1989About the Series 7 exam

Series 4 — Registered Options Principal Examination

Passed Dec 2006About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed Apr 1994About the Series 24 exam
FINRA
SRO Registrations
Nasdaq Stock Market
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Michael Anthony Mullen's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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MM
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