MM
Michael A. Mullen
B. RILEY WEALTH ADVISORS
Red Bank, NJ 07701
Some features on this profile are disabled
CRD#: 1428116
MM
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 9 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael Mullen
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.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Anthony Mullen's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 13, 2012 - Present
B. RILEY WEALTH ADVISORS, INC.
Office #1: 2-10 Broad St. Suite 203/303, Red Bank, NJ 07701RIA
CRD#: 115927
Red Bank, NJ
Current
April 4, 2023 - Present
B. RILEY WEALTH PRIVATE SHARES
Office #1: 2-10 Broad St. Suite 203/303, Red Bank, NJ 07701RIA
CRD#: 315851
Red Bank, NJ
Current
March 16, 2021 - Present
B. RILEY WEALTH MANAGEMENT
Office #1: 10 Broad Street Suite 203/303, Red Bank, NJ 07701BD
CRD#: 2543
RED BANK, NJ
Past
March 17, 2021 - December 31, 2022
B. RILEY WEALTH MANAGEMENT
RIA
CRD#: 2543
Boca Raton, FL
Past
January 23, 2020 - June 10, 2021
WINSLOW, EVANS & CROCKER, INC.
BD
CRD#: 29686
BOSTON, MA
Past
May 30, 2008 - July 22, 2022
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
NEW YORK, NY
Past
April 12, 2006 - June 6, 2008
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
STATEN ISLAND, NY
Past
April 25, 1994 - April 28, 2006
JOSEPH STEVENS & CO., INC.
BD
CRD#: 35459
STATEN ISLAND, NY
Past
August 29, 1991 - May 2, 1994
A.S. GOLDMEN & CO., INC.
BD
CRD#: 23180
RED BANK, NJ
Past
August 22, 1989 - August 16, 1991
D. H. BLAIR & CO., INC.
BD
CRD#: 6833
NEW YORK, NY
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 | WEALTH(K)ARE | 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 | OASIS ASSET MANAGEMENT GROUP | 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 | MANNA WEALTH MANAGEMENT | LIFETIME ADVISORY | LANDING POINT ADVISORS | LAKESHORE WEALTH GROUP | KEYSTONE FINANCIAL ADVISORS | KENNEY CAPITAL MANAGEMENT LLC | KAPSTONE FINANCIAL ADVISORS | JPS WEALTH MANAGEMENT | JBT WEALTH MANAGEMENT | 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 | GIBSON 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 - (11/3/2005 Approved)Alaska
Registered Investment Advisory firm - (11/11/2005 Terminated)California
Registered Investment Advisory firm - (11/14/2005 Terminated)Florida
Registered Investment Advisory firm - (11/11/2005 Terminated)Georgia
Registered Investment Advisory firm - (11/11/2005 Terminated)Idaho
Registered Investment Advisory firm - (11/14/2005 Terminated)Maryland
Registered Investment Advisory firm - (11/11/2005 Terminated)Massachusetts
Registered Investment Advisory firm - (11/11/2005 Terminated)Missouri
Registered Investment Advisory firm - (11/11/2005 Terminated)New York
Registered Investment Advisory firm - (11/11/2005 Terminated)Ohio
Registered Investment Advisory firm - (11/11/2005 Terminated)Oregon
Registered Investment Advisory firm - (11/11/2005 Terminated)South Carolina
Registered Investment Advisory firm - (11/11/2005 Terminated)Texas
Registered Investment Advisory firm - (11/14/2005 Terminated)Virginia
Registered Investment Advisory firm - (11/15/2005 Terminated)Washington
Registered Investment Advisory firm - (11/11/2005 Terminated)Wisconsin
Registered Investment Advisory firm - (11/14/2005 Terminated)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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
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)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BR
B. RILEY WEALTH ADVISORS, INC.
ADVISIUM WEALTH MANAGEMENT LLC | WINSLOW, EVANS & CROCKER | WEST TEXAS INVESTMENTS | WEALTH(K)ARE | 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 | OASIS ASSET MANAGEMENT GROUP | 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 | MANNA WEALTH MANAGEMENT | LIFETIME ADVISORY | LANDING POINT ADVISORS | LAKESHORE WEALTH GROUP | KEYSTONE FINANCIAL ADVISORS | KENNEY CAPITAL MANAGEMENT LLC | KAPSTONE FINANCIAL ADVISORS | JPS WEALTH MANAGEMENT | JBT WEALTH MANAGEMENT | 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 | GIBSON 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 - (11/3/2005 Approved)Alaska
Registered Investment Advisory firm - (11/11/2005 Terminated)California
Registered Investment Advisory firm - (11/14/2005 Terminated)Florida
Registered Investment Advisory firm - (11/11/2005 Terminated)Georgia
Registered Investment Advisory firm - (11/11/2005 Terminated)Idaho
Registered Investment Advisory firm - (11/14/2005 Terminated)Maryland
Registered Investment Advisory firm - (11/11/2005 Terminated)Massachusetts
Registered Investment Advisory firm - (11/11/2005 Terminated)Missouri
Registered Investment Advisory firm - (11/11/2005 Terminated)New York
Registered Investment Advisory firm - (11/11/2005 Terminated)Ohio
Registered Investment Advisory firm - (11/11/2005 Terminated)Oregon
Registered Investment Advisory firm - (11/11/2005 Terminated)South Carolina
Registered Investment Advisory firm - (11/11/2005 Terminated)Texas
Registered Investment Advisory firm - (11/14/2005 Terminated)Virginia
Registered Investment Advisory firm - (11/15/2005 Terminated)Washington
Registered Investment Advisory firm - (11/11/2005 Terminated)Wisconsin
Registered Investment Advisory firm - (11/14/2005 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
40 S. Main St. Suite 1600, Memphis, TN 38103
Mailing Address
Phone number
(901) 251-1330
Established
Firm type
Fiscal year end
# of Employees
350
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 17,372 |
| AUM (Assets Under Management) | $ 7,027,862,844 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/21/2025 | ||
| 11/27/2024 | ||
| 05/26/2023 | ||
| 11/28/2022 |
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.
