Roman S Marquez
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Roman Marquez
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
5 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
LEO WEALTH AMERICAS, LLC
Contact Information
Main Address
860 Airport Freeway Suite 402, Hurst, TX 76054Phone Number
(817) 354-1090# of Employees
21SEC notice filing (20 States and Territories)
Registered to provide investment advisory services in 20 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,332AUM (Assets Under Management)
$512,279,544Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
LEO WEALTH AMERICAS, LLC
State Registrations and Notice Filings
(7/2/2026)
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Aug 2023About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Roman S Marquez's CRS (Customer Relationship Summary).
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