Michael Mullen

36 Years of Experience

2 DisclosuresBrokerSells Insurance

Michael Mullen is a registered investment advisor at B. Riley Wealth Private Shares, based in Red Bank, NJ, with 36 years of industry experience. Michael operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Alternative Investments. Their firm serves 9 clients with $41M in assets under management.

B. Riley Wealth Private Shares

Compensation

Fee-Only (% of Portfolio)

Firm Size

3 advisors

IM Fee

Planning only

Assets Under Management

$41.4M

Fee Structure

Investment management only (planning not offered)

Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.

View Full SEC Brochure

Location

2-10 Broad St., Suite 203/303, Red Bank, NJ, 07701

Get directions

History

Regulatory History (2)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Customer Dispute

January 1996

Award / Judgment

Regulatory

October 1990

Final

View Full SEC Report How to Read Disclosures

Other Business ActivitiesSells Insurance

Michael manages branch expenses through The Biotech Group LLC and is involved with several B. Riley entities, including insurance sales as Chairman and Agent of B. Riley Wealth Insurance Corp. He also holds positions in Mullen Group Partners, LLC, B. Riley Wealth Tax Services, NAM Special Situations Management LLC, B. Riley Private Shares Management 2022-1, LLC, and B. Riley Securities.

Employment History

Current Registrations

B. Riley Wealth Private Shares

April 2023 - Present · 3 yrs

B. Riley Wealth ManagementBroker

March 2021 - Present · 5 yrs 1 mo

B. Riley Wealth Advisors, INC.

January 2012 - Present · 14 yrs 3 mos

Previous Registrations

B Riley Wealth Management

March 2021 - December 2022 · 1 yr 9 mos

Winslow, Evans & Crocker, INC.Broker

January 2020 - June 2021 · 1 yr 5 mos

National Securities CorporationBroker

May 2008 - July 2022 · 14 yrs 2 mos

Gunnallen Financial, INCBroker

April 2006 - June 2008 · 2 yrs 2 mos

Joseph Stevens & Company, INC.Broker

April 1994 - April 2006 · 12 yrs

A.S. Goldmen & CO., INC.Broker

August 1991 - May 1994 · 2 yrs 9 mos

D. H. Blair & CO., INC.Broker

August 1989 - August 1991 · 2 yrs

State Registrations51 states

AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPARISCSDTNTXUTVAVTWAWIWVWY

AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams

No exam information available for this advisor.