Michael M. Smith

PROFOCUS

Phoenix, AZ 85044-3374

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CRD#: 1189477

Professional summary

Michael Maurice Smith, CFP® is a registered financial advisor currently at PROFOCUS INCORPORATED located in Phoenix, Arizona.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Michael has worked at 2 firms and has passed the Series 63 and Series 6 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.

AHWATUKEE EXECUTIVE OFFICES AEO 70% OWNER MARICOPA LLC 100% OWNER BURLINGTONWOOD LLC 15 % OWNER

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Maurice Smith'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®

CFP^®

Certified Financial Planner

Start date: 1997

Experience

Current

August 21, 2000 - Present

PROFOCUS INCORPORATED

Office #1: 5010 East Warner Road Suite 202, Phoenix, AZ 85044-3374

RIA

CRD#: 113954

Phoenix, AZ

Past

August 21, 2000 - December 31, 2016

PROFOCUS INCORPORATED

RIA

CRD#: 113954

PHOENIX, AZ

Past

October 11, 1983 - May 15, 2000

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

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".

PROFOCUS INCORPORATED

PROFOCUS INC | PROFOCUS, INCORPORATED | PROFOCUS INCORPORATED

CRD#: 113954 / SEC#: 801-124789

RIA

Registered Investment Advisory firm - (5/2/2022 Approved)

Arizona

Registered Investment Advisory firm - (5/4/2022 Terminated)

Virginia

Registered Investment Advisory firm - (5/9/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Arizona
(8/21/2000)

IAR

Virginia
(5/31/2018)

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.

Exams

State Security Law Exam

Series 63

Date: 10/7/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 10/7/1983

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PROFOCUS INCORPORATED

PROFOCUS INC | PROFOCUS, INCORPORATED | PROFOCUS INCORPORATED

CRD#: 113954 / SEC#: 801-124789

RIA

Registered Investment Advisory firm - (5/2/2022 Approved)

Arizona

Registered Investment Advisory firm - (5/4/2022 Terminated)

Virginia

Registered Investment Advisory firm - (5/9/2022 Terminated)

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Contact information

Main Address

5010 East Warner Road Suite 202, Phoenix, AZ 85044-3374

Mailing Address

Phone number

(480) 598-9960

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROFOCUS INCORPORATED BROCHURE (10/9/2025)

Regulatory assets under management

Total Number of Accounts	525
AUM (Assets Under Management)	$ 151,000,000

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 M. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Maurice Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROFOCUS INCORPORATED

PROFOCUS INCORPORATED

PRINCIPAL SECURITIES, INC.

Primary Firm SEC Registration

PROFOCUS INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 10/7/1983

Series 6

Date: 10/7/1983

Current Firm

PROFOCUS INCORPORATED

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROFOCUS INCORPORATED

TRUST BUT VERIFY

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