Joseph Arthur Cullen

Investment Adviser Representative at PALLAS CAPITAL ADVISORS, LLC

Wakefield, MACRD #4342180Dual-registered

No disclosures on record

Sourced from SEC IAPD & FINRA BrokerCheck

Years of Experience

25 yrs

States Registered

12 states

Exams Passed

Registrations & licenses

Registration type

Dual-registered

Registered in 12 states

CaliforniaConnecticutFloridaMarylandMassachusettsNew HampshireNew JerseyNew YorkOhioRhode IslandSouth CarolinaTexas

Examinations passed

Series 66

Uniform Combined State Law Examination

Passed 6/26/2001

Series 6TO

Investment Company Products/Variable Contracts Representative Examination

Passed 1/2/2023

Series 99TO

Operations Professional Examination

Passed 1/2/2023

SIE

Securities Industry Essentials Examination

Passed 10/1/2018

Series 31

Futures Managed Funds Examination

Passed 1/22/2004

Series 7

General Securities Representative Examination

Passed 4/17/2001

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model

Assets Under Management (AUM)

Source

PALLAS CAPITAL Advisors, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

PURSHE KAPLAN STERLING INVESTMENTSCurrent

5/14/2021 – Wakefield, MA

GRUNTAL & CO., L.L.C.

4/18/2001 – 4/24/2002NEW YORK, NY

UBS FINANCIAL SERVICES INC.

4/16/2002 – 5/25/2021BOSTON, MA

Official records & sources

FINRA BrokerCheck record

Official broker registration & regulatory record

SEC IAPD record

SEC investment adviser registration record

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Joseph Arthur Cullen has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.