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SM

Susan J. Maxwell

Some features on this profile are disabled
CRD#: 4005580
SM

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.

Susan Jane Maxwell was a registered financial professional .

Susan is a previously registered financial professional and started their career in finance in 2000. 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.

Question & Answer

Are you a "fiduciary"?
No

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

August 23, 2023 - January 16, 2026

GREENBERG FINANCIAL GROUP

RIA
CRD#: 38747
TUCSON, AZ
Past

February 18, 2000 - February 14, 2025

GREENBERG FINANCIAL GROUP

BD
CRD#: 38747
TUCSON, AZ

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/31/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 9/23/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/1/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 11
Date: 2/17/2000
Assistant Representative-Order Processing Qualification Exam
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/18/2007
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 28
Date: 3/18/2005
Introducing Broker/Dealer Financial Operations 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 (1/16/2026)

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#: 38747

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