Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Romy? Claim Your ProfileRomy Leigh McCarthy is a financial advisor with over 27 years of experience in the industry. Romy is currently registered with D.a. Davidson & Co. in The Woodlands, TX. Romy has held previous positions at Piper Sandler & Co. and B. C. Ziegler and Company. Romy's specializations include providing financial planning, pension consulting, and portfolio management services to both individuals and businesses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
TX
05/05/2022 - Present
D.a. Davidson & Co. (The Woodlands TX)
WI
04/19/2013 - 05/09/2022
PIPER SANDLER & CO. (MILWAUKEE WI)
WI
01/25/1995 - 05/03/2013
B. C. ZIEGLER AND COMPANY (MILWAUKEE WI)
IA
Issued 06/29/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/13/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/17/2017
Series 50 - Municipal Advisor Representative Qualification Exam
BC
Issued 01/24/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
Not sure Romy McCarthy is the right advisor for you? Invested Better is here to help.
