Joseph A. Cullen
PALLAS CAPITAL ADVISORS
Braintree, MA 02184
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CRD#: 4342180
Professional summary
Joseph Arthur Cullen, CFP®, who also goes by Joe Cullen, is a registered financial advisor currently at PALLAS CAPITAL ADVISORS, LLC located in Braintree, Massachusetts and PURSHE KAPLAN STERLING INVESTMENTS located in Wakefield, Massachusetts.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Joseph has worked at 4 firms and has passed the Series 66, Series 6TO, Series 99TO, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joe Cullen
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) Pallas Capital Advisors, LLC. Investment related. Located at 45 Braintree Hill Office Park, Braintree, MA 02184. Position - Managing Director. Start 05/2021. 40 hours per month, 8 hours during trading hours. Duties - Financial Advisor. 2) Fixed Insurance - Investment Related. Located at 45 Braintree Hill Office Park, Braintree, MA 02184. Nature - Fixed Insurance and Annuity Business. Position - Agent. Start 05/2021. 10 hours per month, 10 hours during trading hours. Duties - sell Fixed Insurance and Annuities. 3) Salem Country Club / 133 Forest Street Peabody, MA 01960 / Association (i.e., Trade or Industry, Sport...)/ Other Country Club / Member entertainment / Member of a committee with management or supervisory functions / / member of the by laws committee / Start Date 10/03/2016 / Salem Country Club / 133 Forest Street, Peabody, MA 01960 / www.salemcountryclub.org / No / Other / Country Club / Member entertainment / No / Member of a committee with management/supervisor functions / Chairperson of Pool & Tennis Committee and member of investment committee / No / Start Date 10/1/2019
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Arthur Cullen'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: 2006
Experience
Current
May 14, 2021 - Present
PALLAS CAPITAL ADVISORS, LLC
Office #1: 45 Braintree Hill Office Park Suite 201, Braintree, MA 02184RIA
CRD#: 310327
Braintree, MA
Current
May 14, 2021 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 701 Edgewater Drive Suite 140, Wakefield, MA 01880BD
CRD#: 35747
Wakefield, MA
Past
September 11, 2007 - May 25, 2021
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
BOSTON, MA
Past
April 16, 2002 - May 25, 2021
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
BOSTON, MA
Past
April 18, 2001 - April 24, 2002
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
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".
PC
PALLAS CAPITAL ADVISORS, LLC
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.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
California(5/14/2021)
RR
Connecticut(5/14/2021)
RR
Florida(5/14/2021)
RR
Maryland(5/14/2021)
RR
Massachusetts(5/14/2021)
IAR
Massachusetts(5/14/2021)
RR
New Hampshire(5/14/2021)
RR
New Jersey(5/14/2021)
RR
New York(10/11/2023)
RR
Ohio(10/11/2022)
RR
Rhode Island(5/14/2021)
RR
South Carolina(5/14/2021)
RR
Texas(5/14/2021)
IAR
Texas(11/8/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PC
PALLAS CAPITAL ADVISORS, LLC
PALLAS CAPITAL ADVISORS, LLC
CRD#: 310327 / SEC#: 801-119646
RIA
Registered Investment Advisory firm - (11/12/2020 Approved)Upgrade to AdvisorCheck Premium
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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
31
SEC notice filing (26 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,780 |
| AUM (Assets Under Management) | $ 3,195,166,308 |
Red Flags
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Company Information
PALLAS CAPITAL ADVISORS, LLC
CRD#: 310327Braintree, MA 02184TRUST BUT VERIFY
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