MM
Michael L. Mullen
OSAIC INSTITUTIONS
Thornton, CO 80602
Some features on this profile are disabled
CRD#: 4015097
MM
Professional summary
Michael Lawrence Mullen, CFP® is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Thornton, Colorado.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Michael has worked at 4 firms and has passed the Series 65, Series 63, SIE 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) NAME OF THE OTHER BUSINESS:Rare Form Brewery Company-Tap Room INVESTMENT- RELATED:no ADDRESS OF THE OTHER BUSINESS:90 Congress St., Troy, NY 12180 YOUR POSITION OR TITLE:Investor/partial owner NATURE OF THE OTHER BUSINESS:private START DATE:5/1/2015 APPROXIMATE NUMBER OF HOURS/MONTH:0 APPROXIMATE NUMBER OF HOURS DURING TRADING HOURS:0 BRIEFLY DESCRIBE YOUR DUTIES RELATING TO THE OTHER BUSINESS:None. Brother runs a micro brewery and rr owns 4 shares. COMPENSATION :no 2) NAME OF THE OTHER BUSINESS:Mullen Investment Group, LLC INVESTMENT- RELATED:Yes ADDRESS OF THE OTHER BUSINESS:1075 S. Havana St., Aurora, CO 80012 YOUR POSITION OR TITLE:Owner/President NATURE OF THE OTHER BUSINESS:Investment related START DATE:5/11/2017 APPROXIMATE NUMBER OF HOURS/MONTH:160 APPROXIMATE NUMBER OF HOURS DURING TRADING HOURS:160 BRIEFLY DESCRIBE YOUR DUTIES RELATING TO THE OTHER BUSINESS:DBA for CFS/Gateway. Financial advisor. COMPENSATION :Yes 3) NAME OF THE OTHER BUSINESS:Bleed Green Lancaster #17 Foundaton INVESTMENT- RELATED:No ADDRESS OF THE OTHER BUSINESS:Rangely, CO 81648 YOUR POSITION OR TITLE:Board Member NATURE OF THE OTHER BUSINESS:Volunteer START DATE:9/1/2021 APPROXIMATE NUMBER OF HOURS/MONTH:2 APPROXIMATE NUMBER OF HOURS DURING TRADING HOURS:0 BRIEFLY DESCRIBE YOUR DUTIES RELATING TO THE OTHER BUSINESS:Meeting and Charity Events COMPENSATION :No 4.) M-4 consulting. Not investment related. started in Aug 2024. Allowing people river access that we own for fly fishing. Owner of Land. Recieve 1/2 of access fees.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Lawrence Mullen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Lawrence 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®
CFP®
Start date: 2021
Experience
Current
November 30, 2023 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 12820 Holly Street, Thornton, CO 80602Office #2: 1075 S Havana Street, Denver, CO 80012Office #3: 12101 N Huron Street, Westminster, CO 80234Office #4: 570 32 Road, Clifton, CO 81520Office #5: 2478 Highway 6 & 50, Unit A, Grand Junction, CO 81505Office #6: 680 Commons Dr, Erie, CO 80516RIA
BD
CRD#: 35371
Thornton, CO
Current
November 30, 2023 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 12820 Holly Street, Thornton, CO 80602Office #2: 1075 S Havana Street, Denver, CO 80012Office #3: 12101 N Huron Street, Westminster, CO 80234Office #4: 570 32 Road, Clifton, CO 81520Office #5: 2478 Highway 6 & 50, Unit A, Grand Junction, CO 81505Office #6: 680 Commons Dr, Erie, CO 80516RIA
BD
CRD#: 35371
Thornton, CO
Past
June 29, 2011 - November 29, 2023
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
Aurora, CO
Past
March 28, 2011 - November 29, 2023
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
Aurora, CO
Past
August 29, 2000 - March 17, 2011
TRANSAMERICA CAPITAL, LLC
BD
CRD#: 8217
DENVER, CO
Past
March 6, 2000 - August 29, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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(11/30/2023)
RR
Arizona(11/30/2023)
RR
California(11/30/2023)
RR
Colorado(11/30/2023)
IAR
Colorado(11/30/2023)
RR
Florida(3/6/2024)
RR
Hawaii(11/30/2023)
RR
Idaho(8/18/2025)
RR
Indiana(12/10/2024)
RR
Iowa(11/30/2023)
RR
Kansas(11/30/2023)
RR
Louisiana(11/30/2023)
RR
Maine(11/30/2023)
RR
Minnesota(11/12/2024)
RR
Missouri(11/30/2023)
RR
Montana(11/30/2023)
RR
Nebraska(11/30/2023)
RR
Nevada(11/30/2023)
RR
New Mexico(11/30/2023)
RR
North Dakota(11/30/2023)
RR
Pennsylvania(1/2/2024)
RR
South Dakota(11/30/2023)
RR
Texas(11/30/2023)
RR
Wisconsin(8/18/2025)
RR
Wyoming(11/30/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
630
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
Company Information
OSAIC INSTITUTIONS, INC.
CRD#: 35371Thornton, CO 80602TRUST BUT VERIFY
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