Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roman? Claim Your ProfileRoman Marquez is a financial professional with experience in the securities industry. Roman has a Series 7TO, Series 63, Series 9, and SIE license. Roman is currently registered with Cetera Advisor Networks LLC and is based in Irving, Texas. Roman has previously been employed by Charles Schwab & Co., Inc. and TD Ameritrade, Inc.
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.
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.
1
2
TX
08/01/2024 - Present
Cetera Advisor Networks LLC (IRVING TX)
TX
06/01/2022 - 10/20/2023
CHARLES SCHWAB & CO., INC. (Westlake TX)
TX
12/10/2021 - 06/21/2022
TD AMERITRADE, INC. (Southlake TX)
BC
Issued 12/21/2021
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/19/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/10/2021
Series 7TO - General Securities Representative Examination
BC
Issued 10/15/2021
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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