Cindy Lynn Romney

Employer firm

D.a. Davidson & Co. CRD 199

$41.8B regulatory AUM 1,050 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers

D.A. Davidson & Co.

8 Third Street North, Great Falls, MT 59401 • United States

Current Registrations

Authority	Category	Status	Date
WA	RA	APPROVED	2010-11-01

WA RA
APPROVED

Since 2010-11-01

Branch Locations

Bellevue, WA • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
D.A. Davidson & Co.	Bellevue	WA	11/2010	Present

11/2010 → Present

D.A. Davidson & Co.

Bellevue, WA

Previous Registrations

2004-02-26 → 2010-11-09

Wells Fargo Investments, Llc

Bellevue, WA

Bellevue, WA

Bellevue, WA
1998-12-08 → 2004-03-11

Ubs Financial Services Inc.

Bellevue, WA

Other Businesses

1) ROMPOL LLC; NON-INVESTMENT RELATED; SUN VALLEY, ID; LLC OWNERSHIP OF A VACATION SKI HOME; CO-OWNER; BEGINNING 11/1/06; NO TIME DEVOTED TO THE ACTIVITY. 2) CR SQUARED; INVESTMENT RELATED; KIRKLAND, WA; LLC; CO-OWNER; START 4/1/19; 0 HR/MO; NO TIME DEVOTED DURING SECURITIES TRADING HOURS; NO DUTIES, ACCOUNT JUST COLLECTS DISTRIBUTIONS THAT WE SPLIT. 3) FIDUCIARY RELATIONSHIP; EXECUTOR FOR DOROTHY BROWN; SPOKANE VALLEY, WA; START 2/1/21; EXPECTED TO END 5/1/24.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1983-10-10

S63 Uniform Securities Agent State Law Examination

1983-10-10

Other Names

Cindy Romney
Cindy Lynn Caldwell
Cynthia Lynn Caldwell

View on SEC IAPD