Roman S. Marquez
Professional summary
Roman S Marquez, who also goes by Roman Marquez, is a registered financial advisor currently at GDS WEALTH MANAGEMENT located in Flower Mound, Texas.
Roman is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Roman has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Roman S Marquez's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 9, 2025 - Present
GDS WEALTH MANAGEMENT
Office #1: 2910 Lakeside Village Blvd, Flower Mound, TX 75022August 1, 2024 - June 12, 2025
CETERA WEALTH SERVICES, LLC
June 1, 2022 - October 20, 2023
CHARLES SCHWAB & CO., INC.
December 10, 2021 - June 21, 2022
TD AMERITRADE, INC.
Primary Firm SEC Registration
GDS WEALTH MANAGEMENT
CRD#: 315934 / SEC#: 801-122391
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(6/9/2025)
Exams
Series 7TO
Date: 12/10/2021
General Securities Representative ExaminationCurrent Firm
GDS WEALTH MANAGEMENT
CRD#: 315934 / SEC#: 801-122391
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,420 |
| AUM (Assets Under Management) | $ 1,281,897,626 |
Red Flags
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