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Michael Maurice Smith

Profocus Incorporated

Phoenix, AZ

CRD 1189477

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Employer firm

Profocus Incorporated CRD 113954

$157M regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • BUSINESS MANAGEMENT SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Profocus Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2018-05-31
AZ RA APPROVED 2000-08-21
  • VA RA
    APPROVED
    Since 2018-05-31
  • AZ RA
    APPROVED
    Since 2000-08-21

Branch Locations

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

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Profocus Incorporated Phoenix AZ 06/1995 Present
Previous Registrations
Other Businesses

AHWATUKEE EXECUTIVE OFFICES AEO 97% OWNER MARICOPA LLC 100% OWNER

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1983-10-07
  • S63 Uniform Securities Agent State Law Examination
    1983-10-07
Designations
  • Certified Financial Planner

View on SEC IAPD

Nearby Firms

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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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Nearby Investors

DAREN MICHAEL FRANKEBERGER
Kenneth ALEXANDER Riley
Jamie L Morton

Nearby Offices

EW ADVISER, LLC · PHOENIX, AZ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PHOENIX, AZ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PHOENIX, AZ

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