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Matthew Alan Roma

Cibc Private Wealth Advisors, Inc.

Chicago, IL

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Current Employers
Cibc Private Wealth Advisors, Inc.

181 West Madison Street 36Th Floor, Chicago, IL 60602 • United States

Current Registrations

AuthorityCategoryStatusDate
DE RA APPROVED 2024-04-22
IA RA APPROVED 2024-04-19
IL RA APPROVED 2018-05-29
  • DE RA
    APPROVED
    Since 2024-04-22
  • IA RA
    APPROVED
    Since 2024-04-19
  • IL RA
    APPROVED
    Since 2018-05-29

Branch Locations

181 W. Madison St 35Th Floor, Chicago, IL 60602-4690 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Foreside Fund Services, Llc Chicago IL 10/2014 05/2018
Cedar Capital, Llc Chicago IL 01/2015 05/2018
Cibc Private Wealth Advisors, Inc Chicago IL 05/2018 Present
Previous Registrations
  • 2015-02-10 → 2018-05-07
    Cedar Capital, Llc
    Glen Ellyn, IL
  • 2013-06-06 → 2015-01-02
    Good Harbor Financial
    Chicago, IL
  • 2010-11-02 → 2011-12-22
    Good Harbor Financial
    Barrington, IL
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2013-03-07
S65 Uniform Investment Adviser Law Examination 2010-08-20
  • S63 Uniform Securities Agent State Law Examination
    2013-03-07
  • S65 Uniform Investment Adviser Law Examination
    2010-08-20
Other Names
  • Matt Roma

View on SEC IAPD

Other Firms

BROWNSON, REHMUS & FOXWORTH, INC.
PFINGSTEN PARTNERS, L.L.C.
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
GUGGENHEIM INVESTMENTS
PEKIN HARDY STRAUSS, INC.
SPIDERROCK ADVISORS, LLC
PROSPECT PARTNERS ADVISORS LLC
DOYENNE WEALTH ADVISORS

Other Investors

James Michael Franch
HAROLD NELSON LEAVELL
CARLYLE KELLY MADDEN
PHILIP JOHN RIDOLPHI
SUSAN MARY SHACKLETTE
KRISTI LYNN MILLS
NATHANIEL MITCHELL COLEMAN
KEITH MATTHEW CARDOZA

Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

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