Cindy Romney
Cindy Romney is a registered investment advisor at D.A. Davidson & CO., based in Bellevue, WA, with 43 years of industry experience. Cindy is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Corporate Executives, Estate Planning, Financial Planning & Coaching, and 4 more. Their firm serves 70,118 clients with $42B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
- Financial planning services — generally ranges from $1,500 to $15,000 or more depending on the complexity of the client's financial circumstances and local market considerations.
Location
Bellevue, WA
Get directionsHistory
Regulatory History (4)
Customer Dispute
November 1994Customer Dispute
October 1993Customer Dispute
March 1993Regulatory
October 1992Other Business Activities
Cindy co-owns Rompol LLC, a vacation ski home, and CR Squared LLC, an investment-related LLC that collects distributions. Cindy also served as executor for Dorothy Brown's estate, a fiduciary relationship that ended in May 2024.
Employment History
Current Registrations
D.A. Davidson & CO.
D.A. Davidson & CO.Broker
Previous Registrations
Wells Fargo Investments, LLC
Wells Fargo Investments, LLCBroker
UBS Financial Services INC.Broker
UBS Financial Services INC.
Salomon Smith Barney INC.Broker
Prudential-Bache Securities INC.Broker
State Registrations30 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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