Michael PassanteCRD Number: 5396964
Current Firm: Focused Wealth Management, Inc.
Michael Passante (CRD# 5396964) is an Investment Advisor Representative working at Focused Wealth Management, Inc. in Highland, NY and has over 10 years of experience in the finance industry. Michael Passante has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Ivy Ridge Asset Management, LLC
Guide Wealth Management
Axa Advisors, LLC
|Focused Wealth Management, Inc.||Highland, NY||Nov 2010 - Current||7|
|Securities America, Inc.||Highland, NY||Jul 2007 - Current||10|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Nov 2007|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management519MILLIONS
Total Number of Accounts2,806ACCOUNTS
Average Account Value$184,887
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Publication of periodicals or newsletters
- Educational seminars/workshops
AZ, CA, CT, DC, FL, GA, MA, MD, MI, NC, NJ, NY, OH, PA, TX, VA
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