David Sherwood
David Sherwood is a registered investment advisor at Greenberg Financial Group, based in Tucson, AZ, with 43 years of industry experience. David operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 804 clients with $410M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Greenberg Financial Group's fee for managing your investments is negotiated with each client and can range from 0% to 1.5% of the value of your portfolio annually. This fee includes both investment management and financial planning services. A minimum account size of $250,000 is recommended for individual equity portfolios; smaller accounts are typically invested in mutual funds, indexes, or Greenberg Financial Group's model portfolio. There is no minimum account size for mutual fund accounts.
Location
4511 N Campbell Ave #255, Tucson, AZ, 85718-6423
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Regulatory History (14)
Customer Dispute
February 2023Customer Dispute
March 2008Customer Dispute
December 2005Customer Dispute
September 2003Customer Dispute
August 2003Customer Dispute
May 2003Customer Dispute
September 2002Customer Dispute
July 2002Customer Dispute
January 2002Customer Dispute
October 2001Customer Dispute
May 2001Employment Separation After Allegations
January 1993Criminal
January 1993Customer Dispute
December 1992Employment History
Current Registrations
Greenberg Financial Group
Previous Registrations
Greenberg Financial Group
Greenberg Financial GroupBroker
RBC Dain Rauscher INC.Broker
Prudential Securities IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
E. F. Hutton & Company INCBroker
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.