Susan Jane Maxwell
Professional Summary
Susan Jane Maxwell was a registered financial advisor. Susan was a previously registered financial professional and started their career in finance 2000 - 2026. Susan had worked at 1 firm and has passed the Series 65, Series 66, Series 99TO, SIE, Series 7, Series 11, Series 14, Series 24 and Series 28 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
26 years in the financial services industry
Current & Past Employments
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Current Firm
GREENBERG FINANCIAL GROUP | GREENBERG NEHLS & CO., L.L.C. | GREENBERG NEHLS & CO., INC.
Contact Information
Main Address
4511 N Campbell Ave #255, Tucson, AZ 85718-6423Phone Number
(520) 544-4909Established
Arizona since 07/01/1998Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
10SEC notice filing (11 States and Territories)
Registered to provide investment advisory services in 11 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
1,175AUM (Assets Under Management)
$406,904,132Disclosures
Regulatory Event
1Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
GREENBERG FINANCIAL GROUP | GREENBERG NEHLS & CO., L.L.C. | GREENBERG NEHLS & CO., INC.
State Registrations and Notice Filings
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 11 — Assistant Representative-Order Processing Qualification Exam
Passed Feb 2000Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Mar 2005About the Series 28 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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