Michael A. Passaglia
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Andrew Passaglia, who also goes by Mike Andrew Passaglia, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1986. Michael had worked at 15 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2014 - October 14, 2025
LPL FINANCIAL LLC
March 17, 2014 - October 14, 2025
LPL FINANCIAL LLC
March 2, 2011 - July 12, 2012
MML INVESTORS SERVICES, LLC
March 2, 2011 - July 12, 2012
MML INVESTORS SERVICES, LLC
April 28, 2010 - July 13, 2010
M&I INVESTMENT MANAGEMENT CORP.
July 19, 2006 - March 30, 2010
M&I FINANCIAL ADVISORS, INC
July 19, 2006 - July 13, 2010
M&I FINANCIAL ADVISORS, INC
August 23, 2005 - November 28, 2005
NATCITY INVESTMENTS, INC.
September 2, 2004 - July 15, 2005
UVEST FINANCIAL SERVICES GROUP, INC.
August 19, 2004 - July 15, 2005
UVEST FINANCIAL SERVICES GROUP, INC.
October 6, 2003 - July 14, 2004
VISION INVESTMENT SERVICES, INC.
May 2, 2001 - September 17, 2003
FIFTH THIRD SECURITIES, INC.
February 5, 1997 - May 2, 2001
OLD KENT FINANCIAL ADVISORS
July 19, 1994 - January 31, 1997
NATCITY INSURANCE SERVICES, INC.
January 4, 1994 - September 14, 1994
TRANSAMERICA FINANCIAL ADVISORS, INC.
January 30, 1993 - July 29, 1994
FIRST COLONIAL INVESTMENT SERVICES, INC.
May 2, 1988 - October 5, 1992
CAL FED INVESTMENTS
March 5, 1987 - May 19, 1988
MARKETING ONE SECURITIES, INC.
April 11, 1986 - January 1, 1988
EQUITY SERVICES, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
