Mark Rothstein, financial advisor El Segundo CA
61 score

Mark Rothstein

CRD 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 20 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.

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Professional Designations
Company Name Location Dates Years
Indepdendent Financial Group LLC El Segundo, CA Dec 2013 - Current 3
Mr. Money Talks, LLC El Segundo, CA Jun 2008 - Current 8
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
Disclosure Information

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
Get Details on the FINRA Advisor Check site
Contact Info for Mark S. Rothstein
Phone Number: 310-414-1500
Registered State(s):
  • CA
  • TX
  • FL
  • NV
By the Numbers
  • Total Assets Under Management
    38
    MILLIONS
  • Total Number of Accounts
    1,278
    ACCOUNTS
  • Average Account Value
    $29,905
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

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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BADGES
61

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