Dan S. Martin

Some features on this profile are disabled

CRD#: 4764591

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.

Dan Scott Martin, who also goes by Dan Martin, was a registered financial professional .

Dan is a previously registered financial professional and started their career in finance in 2004. Dan had worked at 2 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dan Martin

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

April 28, 2009 - January 24, 2013

GREENBERG FINANCIAL GROUP

CRD#: 38747

TUCSON, AZ

Past

January 25, 2005 - May 13, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

TUSCON, AZ

Past

April 28, 2004 - May 13, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

TUSCON, 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: 5/11/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 4/27/2004

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Dan S. Martin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GREENBERG FINANCIAL GROUP

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

GREENBERG FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 5/11/2004

Series 7

Date: 4/27/2004

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

Similar Advisors