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Current Employers
Pallas Capital Advisors, Llc

45 Braintree Hill Office Park Suite 201, Braintree, MA 02184 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-11-08
MA RA APPROVED 2021-05-14
  • TX RA
    APPROVED
    Since 2021-11-08
  • MA RA
    APPROVED
    Since 2021-05-14

Branch Locations

45 Braintree Hill Office Park Suite 201, Braintree, MA 02184 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Boston MA 01/2000 05/2021
Pallas Capital Advisors, Llc Braintree MA 05/2021 Present
Purshe Kaplan Sterling Investments, Inc. Braintree MA 05/2021 Present
Previous Registrations
Other Businesses

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

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-06-26
  • S66 Uniform Combined State Law Examination
    2001-06-26
Designations
Other Names
  • Joe Cullen

View on SEC IAPD

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