Romy M. Brown
Professional summary
Romy Michele Brown, who also goes by Romy Moorhead, Romy Michele Morehead, is a registered financial advisor currently at BETA WEALTH GROUP, INC located in San Diego, California.
Romy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Romy has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Romy Michele Brown's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 2, 2018 - Present
BETA WEALTH GROUP, INC
Office #1: 11421 W. Bernardo Court, San Diego, CA 92127April 1, 2005 - November 1, 2017
GIRARD SECURITIES, INC.
April 1, 2005 - November 1, 2017
GIRARD SECURITIES, INC.
February 21, 2003 - April 20, 2018
PACIFIC WEALTH MANAGEMENT
October 16, 2002 - December 31, 2002
PACIFIC WEALTH MANAGEMENT
May 10, 2001 - April 7, 2005
LOCKWOOD FINANCIAL SERVICES, INC.
April 25, 2000 - April 7, 2005
LOCKWOOD FINANCIAL SERVICES, INC.
January 2, 2000 - March 29, 2000
FSC SECURITIES CORPORATION
Primary Firm SEC Registration
BETA WEALTH GROUP, INC
CRD#: 165224 / SEC#: 801-77060
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(5/2/2018)
Exams
Current Firm
BETA WEALTH GROUP, INC
CRD#: 165224 / SEC#: 801-77060
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 430 |
| AUM (Assets Under Management) | $ 428,982,018 |
Red Flags
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