David C. Showell

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CRD#: 4712074

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.

David Christopher Showell was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 2003. David had worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 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

September 30, 2015 - November 4, 2016

GREENBERG FINANCIAL GROUP

RIA

CRD#: 38747

TUCSON, AZ

Past

August 7, 2015 - November 4, 2016

GREENBERG FINANCIAL GROUP

CRD#: 38747

TUCSON, AZ

Past

August 16, 2011 - July 14, 2015

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

GREEN VALLEY, AZ

Past

July 29, 2011 - July 14, 2015

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

GREEN VALLEY, AZ

Past

January 19, 2010 - July 29, 2011

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

TUCSON, AZ

Past

January 12, 2010 - July 29, 2011

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

TUCSON, AZ

Past

February 15, 2007 - January 4, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

TUCSON, AZ

Past

October 6, 2006 - December 31, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

TUCSON, AZ

Past

September 22, 2006 - January 4, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

TUCSON, AZ

Past

November 25, 2003 - September 27, 2006

EDWARD JONES

CRD#: 250

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".

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

IAR

Series 66

Date: 2/14/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/10/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/4/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/24/2003

General Securities Representative 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

David C. Showell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GREENBERG FINANCIAL GROUP

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

EDWARD JONES

Primary Firm SEC Registration

GREENBERG FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 2/14/2007

Series 63

Date: 12/10/2003

SIE

Date: 11/4/2016

Series 7

Date: 11/24/2003

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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