Shawn A. Mesaros

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CRD#: 2336693

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Shawn Anthony Mesaros was a registered financial professional .

Shawn is a previously registered financial professional and started their career in finance in 1993. Shawn had worked at 8 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 31, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 22, 2022 - December 18, 2022

GREENBERG FINANCIAL GROUP

RIA

CRD#: 38747

TUCSON, AZ

Past

May 6, 2022 - December 18, 2022

GREENBERG FINANCIAL GROUP

CRD#: 38747

TUCSON, AZ

Past

April 12, 2021 - April 26, 2022

PAMRIA, LLC

RIA

CRD#: 154027

SEATTLE, WA

Past

May 20, 2010 - March 26, 2021

PAMRIA, LLC

RIA

CRD#: 154027

SEATTLE, WA

Past

June 1, 2009 - June 4, 2010

MORGAN STANLEY

RIA

CRD#: 149777

SEATTLE, WA

Past

June 1, 2009 - June 4, 2010

MORGAN STANLEY

CRD#: 149777

SEATTLE, WA

Past

November 18, 2005 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SEATTLE, WA

Past

November 18, 2005 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SEATTLE, WA

Past

April 12, 2001 - November 21, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SEATTLE, WA

Past

April 14, 1997 - November 21, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

May 17, 1995 - April 17, 1997

WEDBUSH SECURITIES INC.

CRD#: 877

PASADENA, CA

Past

October 21, 1993 - April 12, 1995

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

May 20, 1993 - August 20, 1993

BURNETT, GREY & CO., INC.

CRD#: 23430

ATLANTA, GA

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.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 6/11/2022

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/12/1993

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/29/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 9/18/2003

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/19/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 3/21/2009

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 3/21/2009

General Securities Sales Supervisor - Options Module 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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Firm Stability Insights

Shawn A. Mesaros

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GREENBERG FINANCIAL GROUP

PAMRIA, LLC

PAMRIA, LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

WEDBUSH SECURITIES INC.

PRUDENTIAL EQUITY GROUP, LLC

BURNETT, GREY & CO., INC.

Primary Firm SEC Registration

GREENBERG FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 63

Date: 6/11/2022

Series 65

Date: 11/12/1993

Series 7TO

Date: 1/2/2023

SIE

Date: 10/29/2019

Series 31

Date: 9/18/2003

Series 7

Date: 5/19/1993

Series 10

Date: 3/21/2009

Series 9

Date: 3/21/2009

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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