Unclaimed Profile

Mark Steven Rothstein

TRI-STAR FINANCIAL SERVICES LLC·EL SEGUNDO, California

SIE, Series 7, Series 24, Series 63, Series 99TOCFP29 years registeredTRI-STAR FINANCIAL SERVICES LLC

201 CONTINENTAL BOULEVARD, EL SEGUNDO, CA 90245CRD# 1084659Firm CRD# 148450

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Mark Steven Rothstein · EL SEGUNDO, CA

Registration

CRD #1084659 · TRI-STAR FINANCIAL SERVICES LLC · 29 years registered

Brand Profile

Not yet started

Career History

CETERA INVESTMENT ADVISERS LLC

Sep 2025 – present

AVANTAX ADVISORY SERVICES

Feb 2025 – Sep 2025

EL SEGUNDO, CA

INDEPENDENT FINANCIAL GROUP, LLC

Sep 2019 – Feb 2025

EL SEGUNDO, CA

INDEPENDENT FINANCIAL GROUP, LLC

Dec 2013 – Jan 2015

EL SEGUNDO, CA

TRI-STAR FINANCIAL

Jan 2011 – Mar 2020

EL SEGUNDO, CA

CENTAURUS FINANCIAL, INC.

Jul 2010 – Apr 2013

EL SEGUNDO, CA

MR. MONEY TALKS

Nov 2008 – Dec 2010

EL SEGUNDO, CA

HARMONEY FINANCIAL ADVISORS, LLC

Jul 2006 – Dec 2006

LOS ANGELES, CA

LPL FINANCIAL CORPORATION

May 1997 – Aug 2010

EL SEGUNDO, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 63

Series 99TO

Registration record

First registered · May 12, 1997

Years registered · 29

Professional designation · CFP

Disclosure History

2019Financial·Final

2010Employment Separation After Allegations

2 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

TRI-STAR FINANCIAL SERVICES LLC

CRD 148450 · SEC 801-78485

AUM

$49M

Regulatory assets under management

Employees

1,109 client accounts

Services offered by TRI-STAR FINANCIAL SERVICES LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at TRI-STAR FINANCIAL SERVICES LLC →

Introduction

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Frequently Asked Questions

What services does Mark Steven Rothstein offer?

Mark Steven Rothstein specializes in Financial Planning, Investment Management. Contact their office in EL SEGUNDO, California for a consultation.

What are Mark Steven Rothstein's credentials?

Mark Steven Rothstein holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Mark Steven Rothstein located?

Mark Steven Rothstein is based in EL SEGUNDO, California, working with TRI-STAR FINANCIAL SERVICES LLC. Their office serves clients in the EL SEGUNDO metropolitan area and surrounding communities.

How does Mark Steven Rothstein charge for services?

Mark Steven Rothstein's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is TRI-STAR FINANCIAL SERVICES LLC?

TRI-STAR FINANCIAL SERVICES LLC has approximately 4 employees and manages $49M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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