Michael F. Passaro
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 Francis Passaro, who also goes by Michael Francis Passaro III, Mike Passaro, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1999. Michael had worked at 6 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 2011 - September 20, 2012
WHITAKER SECURITIES LLC
October 30, 2006 - September 16, 2010
PHOENIX DERIVATIVES GROUP, LLC
January 26, 2005 - October 3, 2006
TULLETT PREBON FINANCIAL SERVICES LLC
January 21, 2005 - January 26, 2005
BURLINGTON CAPITAL MARKETS INC.
August 29, 2000 - October 15, 2001
CREDIT SUISSE SECURITIES (USA) LLC
July 7, 1999 - August 16, 2000
UBS FINANCIAL SERVICES INC.
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 55
Date: 2/16/2005
Limited Representative-Equity Trader ExamCurrent Firm
WHITAKER SECURITIES LLC
CRD#: 121465 / SEC#: , 8-65419
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NICOSIA, ROSALIE MARGARET | CHIEF COMPLIANCE OFFICER, CRCP | 4239124 |
Disclosures
| Regulatory Event | 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.
