Susan J. Maxwell
Professional summary
Susan Jane Maxwell is a registered financial advisor currently at GREENBERG FINANCIAL GROUP located in Tucson, Arizona.
Susan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Susan has 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
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Susan Jane Maxwell's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 23, 2023 - Present
GREENBERG FINANCIAL GROUP
Office #1: 4511 N Campbell Ave #255, Tucson, AZ 85718-6423February 18, 2000 - February 14, 2025
GREENBERG FINANCIAL GROUP
Primary Firm SEC Registration
GREENBERG FINANCIAL GROUP
CRD#: 38747 / SEC#: 801-36988, 8-48382
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(8/23/2023)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 11
Date: 2/17/2000
Assistant Representative-Order Processing Qualification ExamSeries 28
Date: 3/18/2005
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
GREENBERG FINANCIAL GROUP
CRD#: 38747 / SEC#: 801-36988, 8-48382
Contact information
SEC notice filing (11 States and Territories)
Documents
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
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