Michael Joshua Carlin

Current Employers

Focus Partners Wealth, Llc

190 Carondelet Plaza Suite 600, St. Louis, MO 63105 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2025-04-15
AZ	RA	APPROVED	2024-07-10
TX	RA	APPROVED	2024-05-01

CA RA
APPROVED

Since 2025-04-15
AZ RA
APPROVED

Since 2024-07-10
TX RA
APPROVED

Since 2024-05-01

Branch Locations

14851 N. Scottsdale Road Suite 105, Scottsdale, AZ 85254 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Henry+Horne Wealth Management Llc	Scottsdale	AZ	08/2005	06/2022
M. S. Howells & Co.	Scottsdale	AZ	07/2019	06/2022
Independent Financial Group	Scottsdale	AZ	03/2006	07/2019
Interocean Capital Group, Llc	Scottsdale	AZ	06/2022	Present
The Colony Group, Llc	Boston	MA	05/2024	Present

08/2005 → 06/2022

Henry+Horne Wealth Management Llc

Scottsdale, AZ
07/2019 → 06/2022

M. S. Howells & Co.

Scottsdale, AZ
03/2006 → 07/2019

Independent Financial Group

Scottsdale, AZ
06/2022 → Present

Interocean Capital Group, Llc

Scottsdale, AZ
05/2024 → Present

The Colony Group, Llc

Boston, MA

Previous Registrations

2022-07-12 → 2024-07-30

Interocean Capital

Nashville, TN

Scottsdale, AZ

Scottsdale, AZ
2017-12-22 → 2022-07-15

Henry + Horne Wealth Management

Scottsdale, AZ
2006-03-08 → 2019-07-01

Independent Financial Group, Llc

San Diego, CA

Scottsdale, AZ
2005-08-05 → 2007-12-31

Axiom Advisory Services, Llc

Scottsdale, AZ
2004-01-28 → 2006-03-15

Osaic Wealth, Inc.

Scottsdale, AZ

Scottsdale, AZ
2001-03-18 → 2004-01-23

Vestax Securities Corporation

Worcester, MA

Other Businesses

1. 06/2022; INTEROCEAN CAPITAL GROUP, LLC, SCOTTSDALE, AZ; INVESTMENT RELATED; REGISTERED INVESTMENT ADVISOR; FINANCIAL PLANNING; PRESIDENT, PRINCIPAL AND CCO; DEVOTE 180 HRS/MONTH, 120 HRS/MO DURING MARKET HOURS. 2. 10/2013; DEPCOM, SCOTTSDALE, AZ; NON INVESTMENT RELATED; RENEWABLE ENERGY; DIRECTOR; DEVOTE 4-10 HRS/MO DURING MARKET HOURS. 3. 6/2019; UNKEFER & ASSOCIATES, PHOENIX AZ; INVESTMENT RELATED; INSURANCE SALES; PROVIDE INSURANCE PRODUCST FOR CLIENT NEEDS; DEVOTE 10 HRS/MO, 5 HRS/MO DURING MARKET HOURS. 4. SEPT 2019; NUSPINE CHIROPRACTIC, LINCOLN, NE; NON INVESTMENT RELATED; CHIROPRACTIC PRACTICE; BOARD OF DIRECTORS; APPROX 2 HRS/MONTH DURING MARKET HOURS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-11-05
S63	Uniform Securities Agent State Law Examination	1996-10-28

S65 Uniform Investment Adviser Law Examination

1996-11-05
S63 Uniform Securities Agent State Law Examination

1996-10-28

Other Names

Mike Carlin
Michael J Carlin

View on SEC IAPD