Branch offices
1 office
FINRA: Small firm
Data sourced from FINRA BrokerCheck public records. Disclosures reflect reported events, not proven violations. Verify at BrokerCheck ↗
FINRA BrokerCheck SEC IAPD verified CRD# 38747 Grade C
Greenberg Financial Group — FINRA BrokerCheck Disciplinary Record
Corporation. 1 branch office, 3 BrokerCheck disclosures.
Greenberg Financial Group registration status — INACTIVE
The verdict
Greenberg Financial Group carries 3 BrokerCheck disclosures across 1 branch office — heavy load for a single-office firm, earning a Grade C.
- Grade C
- Typical disclosure intensity for a firm of this size
- 1
- branch office (single-office firm)
- 3
- BrokerCheck disclosures
- 3.00
- disclosures per office
PlainAdvisorCheck rating 3/5 — an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.
Total disclosures
3 events
On FINRA BrokerCheck
Regulatory events
1 action
33% of all disclosures
Disclosures per office
3.00 per office
3 ÷ 1 offices
Greenberg Financial Group vs. every disclosing firm
Disclosures per branch office — the size-normalized signal behind the grade (lower is cleaner)
3 a cleaner per-office record than 3% of 438 disclosing firms
Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.
Source FINRA BrokerCheck · SEC IAPD · 2026
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 1 |
| Arbitrations | 2 |
| Civil Events | 0 |
| Total | 3 |
Counts reflect events reported on FINRA BrokerCheck. Disclosures are reported events, not proven violations. Verify at BrokerCheck ↗
Disclosure category share
Regulatory 1 Arbitration 2 Civil 0
Disclosure Profile
Greenberg Financial Group's disclosure record, broken down by category and footprint.
Disclosures per office
3.00
Heavy load
Regulatory share
33%
of total disclosures
Size class
Single-office firm
1 branch
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- Formed
- 07/01/1998
- State of Formation
- Arizona
- CRD Number
- 38747
- SEC Number
- 48382
Verify at FINRA BrokerCheck
FINRA BrokerCheck provides the full official disciplinary record, including individual registered advisors. Always verify before hiring a financial advisor.
View on FINRA BrokerCheck ↗What the Record Says About Greenberg Financial Group
Greenberg Financial Group (Corporation, CRD# 38747 · SEC# 48382) operates 1 branch office — a single-office firm (FINRA: small), scope INACTIVE.
BrokerCheck shows 3 disclosures (about 3.00 per branch office): 1 regulatory, 2 arbitration, 0 civil. Letter grade C (3/5 internal scoring). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Every firm registered with FINRA or the SEC must report regulatory actions, customer complaints, arbitrations, and civil judicial events on its public BrokerCheck and Form ADV records. A disclosure is not automatically a finding of wrongdoing — it can range from a settled customer dispute to a formal regulatory sanction — but a heavy disclosure load relative to a firm's size is a signal worth examining before you hire. Because larger firms naturally accumulate more disclosures across more offices, PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Read each disclosure's underlying detail on the official record rather than relying on the headline number alone. Registration itself confirms only that a firm is authorized to do business, not that its compliance history is clean.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
What does a grade of C mean for Greenberg Financial Group?
A grade of C reflects Greenberg Financial Group's disclosure intensity — its weighted disclosure load per branch office — ranked against other firms of a similar size (single-office firm). It carries 3 total disclosures across 1 branch office. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Greenberg Financial Group have?
Greenberg Financial Group has 3 total FINRA disclosures, including 1 regulatory event, 2 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Greenberg Financial Group?
Greenberg Financial Group operates 1 branch office and is classified by FINRA as a small firm (Single-office firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Greenberg Financial Group's disciplinary record?
You can verify Greenberg Financial Group's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 38747. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid Greenberg Financial Group because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Greenberg Financial Group carries 3 disclosures across 1 branch office (about 3.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
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Read our methodology — how this data is sourced, computed, and verified.
Related
Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records. See our methodology for details. Retrieved and formatted by PlainAdvisorCheck Editorial