Roman S. Marquez

LEO WEALTH AMERICAS

HURST, TX 76054

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CRD#: 7429215

Professional summary

Roman S Marquez, who also goes by Roman Marquez, is a registered financial advisor currently at LEO WEALTH AMERICAS, LLC located in Hurst, Texas and LEO BROKERAGE, LLC located in Hurst, Texas.

Roman is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Roman has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 9 exams.

Aliases

Roman Marquez

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roman S Marquez'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®

None

Experience

Current

July 2, 2026 - Present

LEO WEALTH AMERICAS, LLC

Office #1: 860 Airport Freeway Suite 402, Hurst, TX 76054

RIA

CRD#: 338799

HURST, TX

Current

July 2, 2026 - Present

LEO BROKERAGE, LLC

Office #1: 860 Airport Freeway, Suite 402, Hurst, TX 76054

CRD#: 109121

HURST, TX

Past

June 9, 2025 - June 11, 2026

GDS WEALTH MANAGEMENT

RIA

CRD#: 315934

FLOWER MOUND, TX

Past

August 1, 2024 - June 12, 2025

CETERA WEALTH SERVICES, LLC

CRD#: 13572

IRVING, TX

Past

June 1, 2022 - October 20, 2023

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Westlake, TX

Past

December 10, 2021 - June 21, 2022

TD AMERITRADE, INC.

CRD#: 7870

Southlake, TX

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.

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

Texas
(7/2/2026)

IAR

Texas
(7/2/2026)

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

IAR

Series 65

Date: 6/7/2025

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/21/2021

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/10/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/15/2021

Securities Industry Essentials Examination

Principal/Supervisory Exam

Series 9

Date: 8/19/2023

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

LEO WEALTH AMERICAS, LLC

CRD#: 338799 / SEC#: 801-135043

RIA

Registered Investment Advisory firm - (2/23/2026 120-Day Approval)

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Contact information

Main Address

860 Airport Freeway Suite 402, Hurst, TX 76054

Mailing Address

Phone number

(817) 354-1090

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (20 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (1/28/2026)

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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

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Advisor Monitoring

Firm Stability Insights

Roman S. Marquez

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roman S Marquez's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEO BROKERAGE, LLC

GDS WEALTH MANAGEMENT

CETERA WEALTH SERVICES, LLC

CHARLES SCHWAB & CO., INC.

TD AMERITRADE, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/7/2025

Series 63

Date: 12/21/2021

Series 7TO

Date: 12/10/2021

SIE

Date: 10/15/2021

Series 9

Date: 8/19/2023

FINRA

Current Firm

LEO WEALTH AMERICAS, LLC

Contact information

SEC notice filing (20 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

LEO WEALTH AMERICAS, LLC

TRUST BUT VERIFY

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