Michael J. Rubenstein

FOCUS 401 (K) GROUP

Addison, TX 75001

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CRD#: 2112298

Professional summary

Michael Jay Rubenstein, AIF® is a registered financial advisor currently at FOCUS 401 (K) GROUP, LLC located in Addison, Texas.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Michael has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 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.

1. DBA ONLY - FOCUS 401(K) GROUP -APPROVED 12/1/10. 2. DBA W/ENTITY - CORE RETIREMENT ADVISORS, LLC -APPROVED 12/1/10.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Jay Rubenstein'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

July 12, 2014 - Present

FOCUS 401 (K) GROUP, LLC

Office #1: 16415 Addison Road Suite 312, Addison, TX 75001

RIA

CRD#: 172217

Addison, TX

Past

November 30, 2010 - November 18, 2014

LPL FINANCIAL LLC

RIA

CRD#: 6413

ADDISON, TX

Past

November 30, 2010 - November 18, 2014

LPL FINANCIAL LLC

CRD#: 6413

ADDISON, TX

Past

July 22, 2009 - November 30, 2010

NRP ADVISORS, INC.

RIA

CRD#: 141430

DALLAS, TX

Past

July 28, 2008 - November 30, 2010

NRP FINANCIAL, INC.

CRD#: 103717

DALLAS, TX

Past

May 1, 1997 - July 1, 2008

ADP BROKER-DEALER, INC.

CRD#: 37693

DALLAS, TX

Past

October 1, 1996 - April 28, 1997

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

March 26, 1991 - October 1, 1996

UNUM SALES CORPORATION

CRD#: 5406

PORTLAND, ME

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".

FOCUS 401 (K) GROUP, LLC

CRD#: 172217 / SEC#: 801-80065

RIA

Registered Investment Advisory firm - (7/11/2014 Approved)

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

Texas
(7/12/2014)

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

IAR

Series 65

Date: 7/21/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/7/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/18/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 3/25/1991

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 12/30/1996

Investment Company Products/Variable Contracts Principal Examination

Current Firm

FOCUS 401 (K) GROUP, LLC

CRD#: 172217 / SEC#: 801-80065

RIA

Registered Investment Advisory firm - (7/11/2014 Approved)

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Contact information

Main Address

16415 Addison Road Suite 312, Addison, TX 75001

Mailing Address

Phone number

(214) 373-4113

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV2A AND 2B (1/20/2025)

Regulatory assets under management

Total Number of Accounts	21
AUM (Assets Under Management)	$ 99,828,000

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Michael J. Rubenstein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Jay Rubenstein's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

NRP ADVISORS, INC.

NRP FINANCIAL, INC.

ADP BROKER-DEALER, INC.

OSAIC FA, INC.

UNUM SALES CORPORATION

Primary Firm SEC Registration

FOCUS 401 (K) GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/21/2009

Series 63

Date: 4/7/1992

SIE

Date: 11/18/2014

Series 6

Date: 3/25/1991

Series 26

Date: 12/30/1996

Current Firm

FOCUS 401 (K) GROUP, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FOCUS 401 (K) GROUP, LLC

TRUST BUT VERIFY

Contact information

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