Michael J. Passage

CETERA INVESTMENT ADVISERS LLC

SEATTLE, WA

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CRD#: 1208696

Professional summary

Michael John Passage is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Seattle, Washington and CETERA ADVISORS LLC located in Seattle, Washington.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Michael has worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 3 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.) PASSAGE WEALTH ADVISORS - DBA, SOLE OWNER, FULL TIME, 100% 2.) SEATTLE YACHT CLUB; OTHER; START DATE 04/21/2007. 3.) NAME OF OTHER BUSINESS: CLASSIC YACHT ASSOCIATION, PACIFIC NORTHWEST FLEET; INVESTMENT RELATED: NO; ADDRESS: 10203 7TH AVENUE SW, D-4 SEATTLE, WA 98146 NATURE OF BUSINESS: YACHT ASSOCIATION; START DATE: 11/2023; POSITION/TITLE/RELATIONSHIP: VICE COMMODORE/BRIDGE MEMBER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: HELP TO ORGANIZE CLASSIC BOAT SHOWS IN NW,HELP RECRUIT NEW MEMBERS WITH OLD BOATS;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael John Passage's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 12, 2020 - Present

CETERA INVESTMENT ADVISERS LLC

Office #2: 1700 7th Avenue Suite 2100 (premier Workspaces), Seattle, WA 98101

RIA

CRD#: 105644

SEATTLE, WA

Current

September 8, 2022 - Present

CETERA ADVISORS LLC

Office #2: 1700 7th Avenue, Suite 2100, Seattle, WA 98101

CRD#: 10299

SEATTLE, WA

Past

July 2, 2012 - November 12, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

Seattle, WA

Past

June 7, 2006 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

SEATTLE, WA

Past

May 26, 2006 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SEATTLE, WA

Past

March 27, 2006 - June 1, 2006

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

BELLEVUE, WA

Past

April 15, 2003 - June 1, 2006

OPPENHEIMER ASSET MANAGEMENT

RIA

CRD#: 105559

NEW YORK, NY

Past

January 3, 2003 - April 15, 2003

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

BELLEVUE, WA

Past

January 3, 2003 - June 1, 2006

OPPENHEIMER & CO. INC.

CRD#: 249

BELLEVUE, WA

Past

October 11, 1996 - January 3, 2003

CIBC WORLD MARKETS CORP.

RIA

CRD#: 630

SEATTLE, WA

Past

September 24, 1996 - January 3, 2003

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

January 28, 1995 - October 3, 1996

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

November 23, 1983 - January 28, 1995

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 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.

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

California
(9/8/2022)

Hawaii
(10/19/2023)

IAR

Washington
(11/12/2020)

Washington
(9/8/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/10/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/1/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/19/1983

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 11/2/1983

National Commodity Futures Examination

Principal/Supervisory Exam

Series 24

Date: 9/15/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Michael J. Passage

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael John Passage's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

OPPENHEIMER & CO. INC.

OPPENHEIMER ASSET MANAGEMENT

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

CIBC WORLD MARKETS CORP.

CIBC WORLD MARKETS CORP.

UBS FINANCIAL SERVICES INC.

KIDDER, PEABODY & CO. INCORPORATED

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/10/2006

Series 63

Date: 12/1/1983

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/19/1983

Series 3

Date: 11/2/1983

Series 24

Date: 9/15/2006

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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