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DG

Dean S. Greenberg

GREENBERG FINANCIAL GROUP
Tucson, AZ 85718-6423
Some features on this profile are disabled
CRD#: 1186469
DG

Professional summary

Dean Steven Greenberg is a registered financial advisor currently at GREENBERG FINANCIAL GROUP located in Tucson, Arizona.

Dean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Dean has worked at 6 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 4, Series 53 and Series 24 exams.

top-8-questions

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.
CAMPBELL FINANCIAL PLAZA LLC- I AM 50% OWNER OF THE OFFICE BUILDING, GREENBERG FINANCIAL IS ONE ON THE TENANTS IN THIS BUILDING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dean Steven Greenberg'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

October 17, 2023 - January 8, 2025

GREENBERG FINANCIAL GROUP

RIA
CRD#: 38747
TUCSON, AZ
Past

July 17, 1997 - January 8, 2025

GREENBERG FINANCIAL GROUP

BD
CRD#: 38747
TUCSON, AZ
Past

December 16, 1991 - December 1, 1992

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

BD
CRD#: 5181
BOSTON, MA
Past

February 27, 1990 - October 1, 1997

BIRCHTREE FINANCIAL SERVICES LLC

BD
CRD#: 15014
MINNEAPOLIS, MN
Past

December 8, 1987 - March 23, 1990

BOUCHER, OEHMKE & COMPANY

BD
CRD#: 17470
Past

October 11, 1984 - October 29, 1987

J.C. BRADFORD & CO.

BD
CRD#: 1287
Past

October 19, 1983 - October 17, 1984

BLACKSTOCK & CO., INC.

BD
CRD#: 8469

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".
GF
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)
BD
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)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/11/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/17/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/1983
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/11/1995
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 7/28/1995
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/31/1994
General Securities Principal Examination

Current Firm

GF
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)
BD
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
10

SEC notice filing (11 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

GREENBERG FINANCIAL CURRENT (3/21/2025)

Direct owners and executive officers

NamePositionCRD#
GREENBERG, DEAN STEVENPRESIDENT1186469
MAXWELL, SUSAN JANEVICE PRESIDENT4005580
MAXWELL, SUSAN JANECHIEF COMPLIANCE OFFICER4005580

Regulatory assets under management

Total Number of Accounts1,178
AUM (Assets Under Management)$ 331,247,699

Disclosures

Regulatory Event1
Arbitration2

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.

Company Information

GREENBERG FINANCIAL GROUP

CRD#: 38747Tucson, AZ 85718-6423

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