# GREENBERG FINANCIAL GROUP

GREENBERG FINANCIAL GROUP of TUCSON, AZ is an SEC-registered investment adviser.

## Registration

- CRD: 38747
- Type: SEC-registered investment adviser
- SEC file number: 801-36988
- Location: 4511 N CAMPBELL AVE #255, TUCSON, AZ, 85718-6423
- Phone: 520-544-4909
- Latest filing: 2026-03-16
- Regulatory AUM: $406.9M
- Discretionary AUM: $368.1M
- Non-discretionary AUM: $38.8M
- Clients: 10
- Accounts: 1,175

## Business model

- Compensation: % of AUM, Fixed
- Clients served: Individuals, High net worth, Other

## Officers, owners & control persons (12)

| Name | Role | Location |
| --- | --- | --- |
| Dean Steven Greenberg | CEO | — |
| Dylan Jacob Greenberg | PRESIDENT | — |
| Todd Glick | CHIEF COMPLIANCE OFFICER; VICE PRESIDENT | Tuscon, AZ |
| Susan Jane Maxwell | CHIEF COMPLIANCE OFFICER; VICE PRESIDENT | — |
| Dean Steven Greenberg | PRESIDENT | — |
| LAUSENG HEATH ORIN | CHEIF COMPLIANCE OFFICER; VICE PRESIDENT | — |
| GREENBERG DEAN STEVEN | CHIEF COMPLIANCE OFFICER; PRESIDENT | — |
| FINE MARC BARRY | PRINCIPAL | — |
| MAXWELL JANE | CHIEF COMPLIANCE OFFICER; VICE PRESIDENT | — |
| RUPPRECHT KEVIN EDWARD | CHIEF COMPLIANCE OFFICER | — |
| NEHLS JOSEPH ANDREW | SECRETARY | — |
| HAMRA DAVID ALAN | PRINCIPAL; PRINCIPAL/SECRETARY | — |


## Disclosures (1)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2010-05-27 | regulatory | SEC RULE 17A-3, NASD RULES 2110, 3010, 3110 - GREENBERG FINANCIAL GROUP'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGN TO ACHIEVE COMPLIANCE WITH APPLICABLE SECURITIES LAWS, REGULATIONS AND NASD RULES CONCERNING THE MAINTENANCE OF ACCURATE BOOKS AND RECORDS. THE FIRM FAILED T… | Final | $13K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/38747/brochure
- Similar advisers: https://search.stillhousedata.com/firm/38747/similar
- Related entities: https://search.stillhousedata.com/firm/38747/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/38747

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.