Mark RothsteinCRD Number: 1084659
Current Firm: Tri-star Financial
Mark Rothstein (CRD# 1084659) is an Investment Advisor Representative working at Tri-star Financial in El Segundo, CA and has over 21 years of experience in the finance industry. Mark Rothstein has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Jst Investment Consulting
Fried Asset Management, Inc.
|Indepdendent Financial Group LLC||El Segundo, CA||Dec 2013 - Current||3|
|Mr. Money Talks, LLC||El Segundo, CA||Jun 2008 - Current||9|
|Tri-star Financial Services, LLC||Redondo Beach, CA||Aug 1995 - Current||21|
|Purshe Kaplan Sterling Investments||Albany, NY||May 2013 - Dec 2013||< 1|
|Centaurus Financial, Inc.||Anaheim, CA||Jul 2006 - Dec 2013||7|
|The Money Show||El Segundo, CA||Apr 2006 - Jul 2010||4|
|Linsco/private Ledger Corp.||Redondo Beach, CA||Dec 1992 - Jul 2010||17|
|Harmoney Financial, LLC||El Segundo, CA||Oct 2004 - Sep 2008||3|
|Harmoney Financial Advisors, LLC||El Segundo, CA||Apr 2006 - Feb 2007||< 1|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Dec 1995|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Employer Dispute
- Customer Dispute
Total Assets Under Management38MILLIONS
Total Number of Accounts1,278ACCOUNTS
Average Account Value$29,905
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
AZ, CA, CO, FL, GA, HI, IL, IN, MD, MI, MO, NC, NH, NV, NY, OH, OK, OR, PA, SC, TN, TX, VA, WA
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