Mark Steven Rothstein

Current Employers

Employment History

• 05/2013 → Present
  Tri-Star Financial Services, Llc
  El Segundo, CA
• 09/2008 → Present
  Mr. Money Talks, Llc
  El Segundo, CA
• 12/2013 → 01/2025
  Indepdendent Financial Group Llc
  El Segundo, CA
• 09/1982 → Present
  Executive Tax Group Tri-Star Income Taxservice
  El Segundo, CA
• 10/2023 → Present
  Omega Roth Inc.
  El Segundo, CA
• 10/2023 → Present
  Atlas Shrugged Insurance Services Inc
  El Segundo, CA
• 02/2025 → 09/2025
  Avantax Investment Services, Inc.
  El Segundo, CA
• 02/2025 → 09/2025
  Avantax Insurance Agency, Llc
  El Segundo, CA
• 02/2025 → 09/2025
  Avantax Advisory Services
  El Segundo, CA
• 09/2025 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2025-02-10 → 2025-09-05
  Avantax Advisory Services
  Dallas, TX
  El Segundo, CA
  Meridian, ID
• 2013-12-16 → 2025-02-10
  Independent Financial Group, Llc
  El Segundo, CA
  San Diego, CA
  Meridian, ID
• 2011-01-14 → 2020-03-06
  Tri-Star Financial
  El Segundo, CA
• 2010-07-28 → 2013-04-11
  Centaurus Financial, Inc.
  Anaheim, CA
  El Segundo, CA
• 2008-11-12 → 2010-12-31
  Tri-Star Financial
  El Segundo, CA
• 1997-05-12 → 2010-08-10
  Lpl Financial Llc
  El Segundo, CA
• 2006-07-18 → 2006-12-31
  Harmoney Financial Advisors, Llc
  Los Angeles, CA

Other Businesses

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. 7) NAME OF OTHER BUSINESS: MERIDIAN SENIOR CENTER INVESTMENT RELATED: NO; ADDRESS: 1920 N RECORDS WAY MERIDIAN, ID 83646; NATURE OF BUSINESS: NON PROFIT; START DATE: 01/2026; POSITION/TITLE/RELATIONSHIP: ELECTED BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: FINANCE COMMITTEE MEMBER;

Exams

• S63 Uniform Securities Agent State Law Examination
  1995-12-22

Designations