Michael J. Pass
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 James Pass was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1997. Michael had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2018 - June 9, 2023
THE HUNTINGTON INVESTMENT COMPANY
June 27, 2018 - June 9, 2023
THE HUNTINGTON INVESTMENT COMPANY
October 11, 2011 - April 18, 2018
BMO HARRIS FINANCIAL ADVISORS, INC.
October 11, 2011 - April 18, 2018
BMO HARRIS FINANCIAL ADVISORS, INC.
January 26, 2009 - October 4, 2011
WINTRUST INVESTMENTS LLC
January 8, 2009 - October 4, 2011
WINTRUST INVESTMENTS LLC
December 16, 2005 - September 26, 2007
BMO HARRIS FINANCIAL ADVISORS, INC.
December 16, 2005 - September 26, 2007
BMO HARRIS FINANCIAL ADVISORS, INC.
August 10, 2004 - December 31, 2005
HARRISDIRECT LLC
August 10, 2004 - December 31, 2005
HARRISDIRECT LLC
January 23, 2004 - August 3, 2004
BANC ONE SECURITIES CORPORATION
January 23, 2004 - August 3, 2004
BANC ONE SECURITIES CORPORATION
January 28, 2003 - January 27, 2004
PRUCO SECURITIES, LLC.
August 15, 2001 - January 27, 2004
PRUCO SECURITIES, LLC.
July 7, 1997 - August 2, 2001
DWS DISTRIBUTORS, INC.
Primary Firm SEC Registration
THE HUNTINGTON INVESTMENT COMPANY
CRD#: 16986 / SEC#: 801-58015, 8-34867
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
Current Firm
THE HUNTINGTON INVESTMENT COMPANY
CRD#: 16986 / SEC#: 801-58015, 8-34867
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HUNTINGTON BANCSHARES INCORPORATED | PARENT COMPANY | |
| BALLARD, MONICA VICKMAN | SECRETARY | 4245227 |
| BOARDMAN, JEFFREY MICHAEL | CONFLICT OFFICER | 2746492 |
| BRUNNER, MICHAEL EVANS | ROSFP | 5353459 |
| BRUNNER, MICHAEL EVANS | MUNICIPAL PRINCIPAL | 5353459 |
| DUNCAN, ERICA | BOARD MEMBER | 8031535 |
| ERDELYI, MICHAEL DAVID | PRINCIPAL OPERATIONS OFFICER | 5864282 |
| FERGUSON, EMILY ELIZABETH | CHIEF TECHNOLOGY OFFICER | 3107040 |
| FORESTA, CYNTHIA JEAN | CHIEF COMPLIANCE OFFICER | 2445804 |
| HAMILTON, MELANIE KATE-MCFARLAND | PRINCIPAL FINANCIAL OFFICER | 5452291 |
| HOLDING, MELISSA | DIRECTOR OF WEALTH MANAGEMENT | 4621076 |
| HOLDING, MELISSA | BOARD MEMBER | 4621076 |
| LOUGH, SHAWN PATRICK | BOARD MEMBER | 6356321 |
| MIROBALLI, MICHAEL | CHIEF OPERATING OFFICER | 1545242 |
| MIROBALLI, MICHAEL | BOARD MEMBER | 1545242 |
| MIROBALLI, MICHAEL | PRESIDENT | 1545242 |
| POLIVKA, ALEX C | AML OFFICER | 6270624 |
| REBER, AARON | BOARD MEMBER | 7793642 |
| RICHARDSON, STEPHEN MONROE | FINOP | 6260539 |
| RICHARDSON, STEPHEN MONROE | CHIEF FINANCIAL OFFICER | 6260539 |
Regulatory assets under management
| Total Number of Accounts | 37,298 |
| AUM (Assets Under Management) | $ 6,344,121,382 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 6 |
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.
