Richard S. Mullen

PALLAS CAPITAL ADVISORS

Braintree, MA 02184

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CRD#: 2402432

Professional summary

Richard Sholes Mullen is a registered financial advisor currently at PALLAS CAPITAL ADVISORS, LLC located in Braintree, Massachusetts.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Richard has worked at 8 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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)Life Insurance Settlements; not investment-related; 45 Braintree Hill Office Park, Suite 201, Braintree, MA; life insurance settlement; agent; 8/20/2019; 12 hrs/month; 1 hr during trading; introduce clients to life insurance products based on their needs and objectives. 2)ProStairs Fitness LLC; not investment-related; 12 Kimberly Rd., Scituate, MA 02066; fitness equipment manufacturer; founder/investor;8/2015;10 hrs/month;0-1 hr during trading; advisor/manager. 3)MBE,LLC;investment-related;45 Braintree Hill Office Park, Ste 201, Braintree,MA 02184;holding company that is 100% owner of the Pallas Capital Advisors,LLC RIA;33.33% owner;9/19/2022;0 hrs/month;0 hrs during trading;1/3 shareholder of holding company

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Sholes Mullen's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 16, 2020 - Present

PALLAS CAPITAL ADVISORS, LLC

Office #1: 45 Braintree Hill Office Park Suite 201, Braintree, MA 02184

RIA

CRD#: 310327

Braintree, MA

Past

July 19, 2019 - December 1, 2020

NEWEDGE ADVISORS

RIA

CRD#: 171351

BRAINTREE, MA

Past

July 19, 2019 - May 23, 2023

TRIAD ADVISORS LLC

CRD#: 25803

Braintree, MA

Past

March 11, 2011 - July 30, 2019

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

ROCKLAND, MA

Past

March 11, 2011 - July 30, 2019

UBS FINANCIAL SERVICES INC.

CRD#: 8174

ROCKLAND, MA

Past

June 1, 2009 - March 18, 2011

MORGAN STANLEY

RIA

CRD#: 149777

BOSTON, MA

Past

June 1, 2009 - March 18, 2011

MORGAN STANLEY

CRD#: 149777

BOSTON, MA

Past

January 25, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

BOSTON, MA

Past

February 16, 2006 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

BOSTON, MA

Past

March 22, 2001 - November 26, 2002

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

September 20, 1999 - February 16, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

BOSTON, MA

Past

November 4, 1993 - September 23, 1999

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

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".

PALLAS CAPITAL ADVISORS, LLC

CRD#: 310327 / SEC#: 801-119646

RIA

Registered Investment Advisory firm - (11/12/2020 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(11/16/2020)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/24/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/10/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 3/12/2003

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/3/1993

General Securities Representative Examination

Current Firm

PALLAS CAPITAL ADVISORS, LLC

CRD#: 310327 / SEC#: 801-119646

RIA

Registered Investment Advisory firm - (11/12/2020 Approved)

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Contact information

Main Address

45 Braintree Hill Office Park Suite 201, Braintree, MA 02184

Mailing Address

Phone number

(781) 971-5052

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (26 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PALLAS DISCLOSURE BROCHURE (9/8/2025)

Regulatory assets under management

Total Number of Accounts	3,780
AUM (Assets Under Management)	$ 3,195,166,308

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Richard S. Mullen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Sholes Mullen's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEWEDGE ADVISORS

TRIAD ADVISORS LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

PALLAS CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/24/1993

Series 63

Date: 11/10/1993

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 31

Date: 3/12/2003

Series 7

Date: 11/3/1993

Current Firm

PALLAS CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (26 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PALLAS CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

Contact information

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