Mark S. Rothstein
CETERA INVESTMENT ADVISERS LLC
EL SEGUNDO, CA 90245
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CRD#: 1084659
Professional summary
Mark Steven Rothstein, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in El Segundo, California and CETERA WEALTH SERVICES, LLC located in El Segundo, California.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Mark has worked at 13 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
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.
1) OMEGA ROTH INC POSITION: director NATURE: income tax preparation for individuals,partnerships, corporations & non profits INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 0 START DATE: 10/23/2023 ADDRESS: 201 Continental Blvd, Suite 240, El Segundo CA 90245, United States DESCRIPTION: income tax prep business marketing meeting w clients 2) TRI STAR FINANCIAL SERVICES LLC POSITION: manager NATURE: investment related services offerred thru Avantax INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 05/24/2013 ADDRESS: 201 Continental Blvd, Suite 240, El Segundo CA 90245, United States DESCRIPTION: client meetings: provide financial advice based on client needs/objectives/risk tolerance/time horizon manage staff manage office operations marketing 3) EXECUTIVE TAX GROUP DBA TRI STAR INCOME TAX SERVICE POSITION: president NATURE: INCOME TAX preparation for individuals, partnerships, corporations, non profits. INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/14/1982 ADDRESS: 201 Continental Blvd, Suite 240, El Segundo CA 90245, United States DESCRIPTION: income tax preparation manage staff client meetings pay expenses for business marketing the business 4) MR MONEY TALKS LLC POSITION: manager NATURE: live radio money show weekly saturday 2-3 p.m. in idaho kido a.m. 580 station all shows submitted to compliance INVESTMENT RELATED: No NUMBER OF HOURS: 36 SECURITIES TRADING HOURS: 0 START DATE: 09/30/2008 ADDRESS: 827 e park blvd suite 100, studio 1, boise ID 83712, United States DESCRIPTION: radio personality-talk show- saturdays 2-3 p.m. live kido talk radio boise idaho 580 am dial research financial materials/content friday &saturday: wall st journal, usa today-money section, think advisor, financial planning magazine, kiplinger, forbes, etc 5) BUILDING BLOCKS FOUNDATION INC POSITION: director NATURE: provide the public with financial information to teach kids about money...via radio & seminars not active at this point/idea for future INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/23/2023 ADDRESS: 201 Continental Blvd, Suite 240, El Segundo CA 90245, United States DESCRIPTION: at event i speak to children/parents about $$/investing/529 accts etc... 6) ATLAS SHRUGGED INSURANCE SERVICES INC POSITION: director NATURE: this acct receives commissions from insurance sales..ins products sold thru Avantax. i understand that my commissions will be paid directly to me & i will transfer a portion to this entity to pay expenses. INVESTMENT RELATED: Yes NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 4 START DATE: 10/23/2023 ADDRESS: 201 Continental Blvd, Suite 240, El Segundo CA 90245, United States DESCRIPTION: ins services sold thru Avantax commissions earned from this endeavor deposited into Atlas Acct.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Steven Rothstein's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1992
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 201 Continental Blvd #240, El Segundo, CA 90245RIA
CRD#: 105644
EL SEGUNDO, CA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 201 Continental Blvd Suite 240, El Segundo, CA 90245BD
CRD#: 13572
El Segundo, CA
Past
February 10, 2025 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
EL SEGUNDO, CA
Past
February 10, 2025 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
El Segundo, CA
Past
September 27, 2019 - February 10, 2025
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
EL SEGUNDO, CA
Past
December 16, 2013 - January 23, 2015
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
EL SEGUNDO, CA
Past
December 16, 2013 - February 10, 2025
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
EL SEGUNDO, CA
Past
May 23, 2013 - December 19, 2013
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
EL SEGUNDO, CA
Past
January 14, 2011 - March 6, 2020
TRI-STAR FINANCIAL
RIA
CRD#: 148450
EL SEGUNDO, CA
Past
July 28, 2010 - April 11, 2013
CENTAURUS FINANCIAL, INC.
RIA
CRD#: 30833
EL SEGUNDO, CA
Past
July 27, 2010 - April 11, 2013
CENTAURUS FINANCIAL, INC.
BD
CRD#: 30833
EL SEGUNDO, CA
Past
November 12, 2008 - December 31, 2010
TRI-STAR FINANCIAL
RIA
CRD#: 148450
EL SEGUNDO, CA
Past
July 18, 2006 - December 31, 2006
HARMONEY FINANCIAL ADVISORS, LLC
RIA
CRD#: 137660
LOS ANGELES, CA
Past
May 12, 1997 - August 10, 2010
LPL FINANCIAL LLC
RIA
CRD#: 6413
EL SEGUNDO, CA
Past
December 16, 1992 - August 10, 2010
LPL FINANCIAL LLC
BD
CRD#: 6413
EL SEGUNDO, CA
Past
June 26, 1984 - December 18, 1986
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
Past
October 3, 1983 - December 17, 1992
TRIPLE CHECK FINANCIAL SERVICES, INC.
BD
CRD#: 13344
BURBANK, CA
Past
December 21, 1982 - July 26, 1983
SAINT ANTHONY SECURITIES, INC.
BD
CRD#: 3476
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(9/5/2025)
RR
California(9/5/2025)
IAR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Connecticut(9/5/2025)
RR
District of Columbia(9/5/2025)
RR
Florida(9/5/2025)
RR
Georgia(9/5/2025)
RR
Hawaii(9/5/2025)
RR
Idaho(9/5/2025)
IAR
Idaho(9/5/2025)
RR
Illinois(9/5/2025)
RR
Indiana(9/5/2025)
RR
Kentucky(9/19/2025)
RR
Maine(9/5/2025)
RR
Maryland(9/5/2025)
RR
Michigan(9/5/2025)
RR
Nevada(9/5/2025)
RR
New Jersey(9/5/2025)
RR
New Mexico(9/5/2025)
RR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Ohio(9/5/2025)
RR
Oklahoma(9/5/2025)
RR
Oregon(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
South Carolina(9/5/2025)
RR
South Dakota(9/5/2025)
RR
Tennessee(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Vermont(9/5/2025)
RR
Virginia(9/5/2025)
RR
Washington(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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.
