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Romy Michele Brown

Beta Wealth Group, Inc

San Diego, CA

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Current Employers
Beta Wealth Group, Inc

11421 W. Bernardo Court, San Diego, CA 92127 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2018-05-02
  • CA RA
    APPROVED
    Since 2018-05-02

Branch Locations

11421 W. Bernardo Court, San Diego, CA 92127 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Pacific Wealth Management, Llc San Diego CA 03/2000 04/2018
Girard Securities, Inc. San Diego CA 04/2005 10/2017
Beta Wealth Group, Inc. San Diego CA 05/2018 Present
  • 03/2000 → 04/2018
    Pacific Wealth Management, Llc
    San Diego, CA
  • 04/2005 → 10/2017
    Girard Securities, Inc.
    San Diego, CA
  • 05/2018 → Present
    Beta Wealth Group, Inc.
    San Diego, CA
Previous Registrations
  • 2003-02-21 → 2018-04-20
    Pacific Wealth Management
    San Diego, CA
  • 2005-04-01 → 2017-11-01
    Girard Securities, Inc.
    San Diego, CA
    San Diego, CA
  • 2001-05-10 → 2005-04-07
    Lockwood Financial Services, Inc.
    San Diego, CA
  • 2002-10-16 → 2002-12-31
    Pacific Wealth Management
    San Diego, CA
Other Businesses

Self employed as a Notary Public. Not investment related. 7643 Stevenson Way, San Diego, CA 92120. As-needed basis/0 hours per week devoted on average.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-01-24
  • S66 Uniform Combined State Law Examination
    2000-01-24
Other Names
  • Romy Moorhead
  • Romy Michele Morehead

View on SEC IAPD

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Other Offices

CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
RBC CAPITAL MARKETS, LLC · SAN DIEGO, CA
CETERA INVESTMENT MANAGEMENT LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA

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