Michael Smith has been President and Chief Compliance Officer of ProFocus since October 1998, is a control person of the firm and directly owns 75% or more of it. Michael Smith studied at the College of Financial Planning.
Profocus, Incorporated is a Phoenix, AZ firm with $157M under management, 152 clients and 2 advisers across 3 offices, as of its July 2026 filing.
Michael M. Smith is Founder & CEO of ProFocus, Inc., based in Phoenix, Arizona. He began his career in the financial management profession in 1981. He worked with a retirement and full-service 401(k) company, where he created customized retirement plans for medical and high-net-worth professionals.
- Profocus IncorporatedCurrent– present · 26 yearsPhoenix, AZ · Adviser representative · Firm CRD 113954
Professional designations
Listed by ProFocus
- CFP®
Investment adviser representative registrations
Michael Smith is registered as an investment adviser representative in 2 states. The first approvals date from August 2000; the most recent is Virginia, in May 2018.
- ArizonaSince 21 August 2000
- VirginiaSince 31 May 2018
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 7 October 1983 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 7 October 1983 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Michael Maurice Smith
- CRD
- 1189477
- Firm
- ProFocus · CRD 113954
- Role
- President and Chief Compliance Officer
- Office
- 5010 EAST WARNER ROAD, SUITE 202, Phoenix, AZ 85044-3374
- Registration
- Investment adviser registration
- In the industry since
- August 2000
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- profocus.com
Where does Michael Smith work?
Michael Smith has been President and Chief Compliance Officer of Profocus, Incorporated since October 1998, and is a control person of the firm.
Is Michael Smith a financial advisor?
Yes. Michael Smith has a current investment-adviser registration in Arizona and Virginia, through ProFocus since August 2000.
How many years of experience does Michael Smith have?
Michael Smith has 26 years in the financial industry, since August 2000, across 1 adviser firm.
What exams has Michael Smith passed?
Michael Smith has passed 2 licensing exams: the Series 63 and Series 6. The earliest, the Series 63, was passed in October 1983.
Where is Michael Smith based?
Michael Smith’s registered office is in Phoenix, AZ.
Is Michael Smith registered with FINRA?
No. Michael Smith has no current broker registration.
Is Michael Smith a CFP?
ProFocus lists Michael Smith with the CFP credential (“CFP®”) on its website. CFP Board confirms certification status.
How can I verify Michael Smith’s record?
Search CRD 1189477 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Michael Smith’s full registration record.