Richard Sholes Mullen

Current Employers

Employment History

• 03/2011 → 07/2019
  Ubs Financial Services Inc.
  Rockland, MA
• 07/2019 → 09/2023
  Triad Advisors Llc
  Norcross, GA
• 07/2019 → 11/2020
  Gwm Advisors, Llc
  Baton Rouge, LA
• 11/2020 → Present
  Pallas Capital Advisors, Llc
  Braintree, MA

Previous Registrations

• 2019-07-19 → 2020-12-01
  Newedge Advisors
  Braintree, MA
  New Orleans, LA
• 2011-03-11 → 2019-07-30
  Ubs Financial Services Inc.
  Rockland, MA
• 2009-06-01 → 2011-03-18
  Morgan Stanley
  Boston, MA
• 2007-01-25 → 2009-06-01
  Morgan Stanley & Co. Llc
  Boston, MA

Other Businesses

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

Exams

• S65 Uniform Investment Adviser Law Examination
  1993-11-24
• S63 Uniform Securities Agent State Law Examination
  1993-11-10