Maria Ursu Roman, CFP | Financial Professional | Skokie, Illinois

Professional summary

Maria Ursu Roman, CFP®, who also goes by Maria Gomez, Maria Ursu Roman, Maria Ursu, is a registered financial advisor currently at IHT WEALTH MANAGEMENT LLC located in Skokie, Illinois and LPL FINANCIAL LLC located in Skokie, Illinois.

Maria is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Maria has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Maria Gomez | Maria Ursu Roman | Maria Ursu

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. 9/9/2019 - KMG PRIVATE WEALTH MANAGEMENT - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - Started 08/29/2019 - 160 Hours Per Month/7 Hours During Securities Trading - Time Spent 100%. 2. 9/12/2019 - IHT Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Admin. - Started 08/29/2019 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% time spent - I provide administrative support to IHT Wealth Management, an independent investment advisor firm. I started this business activity in 8/2019. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 1/29/2020 - KMG Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 12/09/2019 - 160 Hours Per Month/8 Hours During Securities Trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Maria Ursu Roman's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Current

February 10, 2020 - Present

IHT WEALTH MANAGEMENT LLC

Office #1: 4711 Golf Rd. Suite 705, Skokie, IL 60076

RIA

CRD#: 171481

Skokie, IL

Current

September 23, 2019 - Present

LPL FINANCIAL LLC

Office #1: 4711 Golf Road, Ste. 705, Skokie, IL 60076

RIA

BD

CRD#: 6413

Skokie, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

IW

IHT WEALTH MANAGEMENT LLC

CRD#: 171481 / SEC#: 801-79769

RIA

Registered Investment Advisory firm - (5/28/2014 Approved)

Florida

Registered Investment Advisory firm - (12/6/2016 Terminated)

Illinois

Registered Investment Advisory firm - (2/24/2015 Terminated)

Texas

Registered Investment Advisory firm - (12/6/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR

Illinois
(12/7/2019)

IAR

Illinois
(2/10/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

RR

IAR

Series 66

Date: 12/7/2019

Uniform Combined State Law Examination

General Industry/Product Exam

RR

Series 7TO

Date: 9/23/2019

General Securities Representative Examination

General Industry/Product Exam

RR

SIE

Date: 7/5/2019

Securities Industry Essentials Examination

SRO Registrations

RR

FINRA

Current Firm

IW

IHT WEALTH MANAGEMENT LLC

CRD#: 171481 / SEC#: 801-79769

RIA

Registered Investment Advisory firm - (5/28/2014 Approved)

Florida

Registered Investment Advisory firm - (12/6/2016 Terminated)

Illinois

Registered Investment Advisory firm - (2/24/2015 Terminated)

Texas

Registered Investment Advisory firm - (12/6/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

123 N. Wacker Dr. Suite 2300, Chicago, IL 60606

Mailing Address

Phone number

(855) 295-2828

Established

Firm type

Fiscal year end

# of Employees

179

SEC notice filing (36 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A OF FORM ADV FIRM BROCHURE (4/1/2025)

Regulatory assets under management

Total Number of Accounts	23,131
AUM (Assets Under Management)	$ 6,376,084,483

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Maria Ursu Roman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Maria Ursu Roman's CRS (Customer Relationship Summary).

Certified licenses

Experience

IHT WEALTH MANAGEMENT LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

IHT WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/7/2019

Series 7TO

Date: 9/23/2019

SIE

Date: 7/5/2019

FINRA

Current Firm

IHT WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (36 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

IHT WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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