Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Jane Maxwell is a registered Investment Advisor Representative (IAR) with Greenberg Financial Group. Susan is based in Tucson, Arizona and has been in the industry since 2000. Susan has passed the Series 65, 66, 7, 11, 14, 24, and 28 exams, as well as the SIE and Series 99TO. Susan is registered with the state of Arizona and has been active in the industry since 2000. Greenberg Financial Group offers portfolio management, financial planning, and educational seminars for individuals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Personalized portfolio management to meet individual financial objectives.
Portfolio reviews
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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AZ
08/23/2023 - Present
Greenberg Financial Group (TUCSON AZ)
IA
Issued 07/31/2023
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 09/23/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 06/18/2007
Series 24 - General Securities Principal Examination
BC
Issued 03/18/2005
Series 28 - Introducing Broker/Dealer Financial Operations Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/01/2006
Series 7 - General Securities Representative Examination
BC
Issued 02/17/2000
Series 11 - Assistant Representative-Order Processing Qualification Exam
Active
Inactive
F
FINRA
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