Dylan J. Greenberg

GREENBERG FINANCIAL GROUP

Tucson, AZ 85718-6423

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CRD#: 6968557

Professional summary

Dylan Jacob Greenberg is a registered financial advisor currently at GREENBERG FINANCIAL GROUP located in Tucson, Arizona.

Dylan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Dylan has worked at 1 firm and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Assistant Football Coach for Tucson HS. non investment related, 20 hours per week, zero during securities trading hours, compensated.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dylan Jacob Greenberg's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

February 27, 2025 - Present

GREENBERG FINANCIAL GROUP

Office #1: 4511 N Campbell Ave #255, Tucson, AZ 85718-6423

RIA

CRD#: 38747

Tucson, AZ

Past

May 20, 2019 - January 3, 2025

GREENBERG FINANCIAL GROUP

RIA

CRD#: 38747

TUCSON, AZ

Past

February 15, 2019 - January 3, 2025

GREENBERG FINANCIAL GROUP

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".

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(2/27/2025)

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: 5/17/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/15/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 12/12/2018

Securities Industry Essentials 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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Advisor Monitoring

Firm Stability Insights

Dylan J. Greenberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dylan Jacob Greenberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

GREENBERG FINANCIAL GROUP

GREENBERG FINANCIAL GROUP

Primary Firm SEC Registration

GREENBERG FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 5/17/2019

Series 7TO

Date: 2/15/2019

SIE

Date: 12/12/2018

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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