David M. Sherwood

GREENBERG FINANCIAL GROUP

Tucson, AZ 85718-6423

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CRD#: 1024893

Professional summary

David Michael Sherwood, who also goes by Dave Michael Sherwood, is a registered financial advisor currently at GREENBERG FINANCIAL GROUP located in Tucson, Arizona.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. David has worked at 5 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55, Series 3, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dave Michael Sherwood

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Michael Sherwood'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®

None

Experience

Current

February 27, 2025 - Present

GREENBERG FINANCIAL GROUP

Office #1: 4511 N Campbell Ave #255, Tucson, AZ 85718-6423

RIA

CRD#: 38747

Tucson, AZ

Past

April 25, 2023 - January 3, 2025

GREENBERG FINANCIAL GROUP

RIA

CRD#: 38747

TUCSON, AZ

Past

March 22, 2002 - January 3, 2025

GREENBERG FINANCIAL GROUP

CRD#: 38747

TUCSON, AZ

Past

July 10, 1998 - March 12, 2002

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

March 5, 1993 - June 2, 1998

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

October 28, 1987 - February 23, 1993

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

December 24, 1981 - November 17, 1987

E. F. HUTTON & COMPANY INC

CRD#: 235

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".

GREENBERG FINANCIAL GROUP

GREENBERG FINANCIAL GROUP | GREENBERG NEHLS & CO., L.L.C. | GREENBERG NEHLS & CO., INC.

CRD#: 38747 / SEC#: 801-36988, 8-48382

RIA

Registered Investment Advisory firm - SEC (8/27/1990 Approved)

Texas

Registered Investment Advisory firm - SEC (6/12/2002 Cancelled)

Terminated by SEC on 02/14/2025

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
(2/27/2025)

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: 4/20/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/29/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 10/29/2008

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 3

Date: 7/5/1991

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/19/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 11/20/2008

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/13/2008

General Securities Principal Examination

Current Firm

GREENBERG FINANCIAL GROUP

GREENBERG FINANCIAL GROUP | GREENBERG NEHLS & CO., L.L.C. | GREENBERG NEHLS & CO., INC.

CRD#: 38747 / SEC#: 801-36988, 8-48382

RIA

Registered Investment Advisory firm - SEC (8/27/1990 Approved)

Texas

Registered Investment Advisory firm - SEC (6/12/2002 Cancelled)

Terminated by SEC on 02/14/2025

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Contact information

Main Address

4511 N Campbell Ave #255, Tucson, AZ 85718-6423

Mailing Address

Phone number

(520) 544-4909

Established

Arizona since 07/01/1998

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GREENBERG FINANCIAL CURRENT (3/21/2025)

Direct owners and executive officers

Name	Position	CRD#
GREENBERG, DEAN STEVEN	PRESIDENT	1186469
MAXWELL, SUSAN JANE	VICE PRESIDENT	4005580
MAXWELL, SUSAN JANE	CHIEF COMPLIANCE OFFICER	4005580

Regulatory assets under management

Total Number of Accounts	1,178
AUM (Assets Under Management)	$ 331,247,699

Disclosures

Regulatory Event	1
Arbitration	2

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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Advisor Monitoring

Firm Stability Insights

David M. Sherwood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Michael Sherwood's CRS (Customer Relationship Summary).

Certified licenses

Experience

GREENBERG FINANCIAL GROUP

GREENBERG FINANCIAL GROUP

RBC CAPITAL MARKETS, LLC

PRUDENTIAL EQUITY GROUP, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

GREENBERG FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 4/20/2023

Series 63

Date: 12/29/1981

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 10/29/2008

Series 3

Date: 7/5/1991

Series 7

Date: 12/19/1981

Series 4

Date: 11/20/2008

Series 24

Date: 10/13/2008

Current Firm

GREENBERG FINANCIAL GROUP

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

GREENBERG FINANCIAL GROUP

TRUST BUT VERIFY

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