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RIA / WealthAdvisor26 years in industry

ROMY MICHELE BROWN

Advisor at BETA WEALTH GROUP, INC

SAN DIEGO, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: May 10, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: BETA WEALTH GROUP, INC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 24, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jan 24, 2000
First registration: May 10, 2001
Dual registered: no
Other names: ROMY MOORHEAD|ROMY MICHELE MOREHEAD
IAPD individual key: 2534514

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
BETA WEALTH GROUP, INC	Independent wealth	May 2, 2018	n/a	yes	SAN DIEGO, CA	Current employment
GIRARD SECURITIES, INC.	Former SEC adviser	Apr 1, 2005	Nov 1, 2017	no	SAN DIEGO, CA\|SAN DIEGO, CA	Previous registration
PACIFIC WEALTH MANAGEMENT	Independent wealth	Feb 21, 2003	Apr 20, 2018	no	SAN DIEGO, CA	Previous registration
PACIFIC WEALTH MANAGEMENT	Independent wealth	Oct 16, 2002	Dec 31, 2002	no	SAN DIEGO, CA	Previous registration
LOCKWOOD FINANCIAL SERVICES, INC.	n/a	May 10, 2001	Apr 7, 2005	no	SAN DIEGO, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PACIFIC WEALTH MANAGEMENT	GIRARD SECURITIES, INC.	Apr 20, 2018	Apr 1, 2005	-4,767	Firm change after gap	Other
GIRARD SECURITIES, INC.	BETA WEALTH GROUP, INC	Nov 1, 2017	May 2, 2018	182	Firm change	Other
LOCKWOOD FINANCIAL SERVICES, INC.	PACIFIC WEALTH MANAGEMENT	Apr 7, 2005	Oct 16, 2002	-904	Firm change after gap	Other

Relationships

Registered with (4)

→ BETA WEALTH GROUP, INCRegistered adviserregistration: current employment
May 2, 2018 to presentfactForm ADV
→ PACIFIC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Feb 21, 2003 to Apr 20, 2018factForm ADV
→ GIRARD SECURITIES, INC.Registered adviserregistration: previous registration
Apr 1, 2005 to Nov 1, 2017factForm ADV
→ LOCKWOOD FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
May 10, 2001 to Apr 7, 2005factForm ADV

Dated events

No dated event names this entity yet.