Mark Steven Rothstein
Investment Adviser Representative at Cetera Investment Advisers LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Mark Steven Rothstein is an investment adviser representative with Cetera Investment Advisers LLC in Meridian, ID, where they have been registered since 2025. They have worked in the securities industry since 1983 and have been registered with 8 firms, including Avantax Advisory Services and Independent Financial Group, LLC. They have passed 5 industry qualification exams, including the Series 7 (general securities representative), Series 24 (general securities principal), and Series 63 (state securities agent). They are registered to provide investment advice in California, Idaho, and Texas.
Registrations & licenses
- Investment adviser:
- California, Idaho, Texas
- Broker:
32 states and territories
Arizona, Arkansas, California, Colorado, Connecticut, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Kentucky, Maine, Maryland, Michigan, Nevada, New Jersey, New Mexico, New York, North Carolina, Ohio, Oklahoma, Oregon, Pennsylvania, South Carolina, South Dakota, Tennessee, Texas, Vermont, Virginia, Washington
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Tri-star Financial Services, LLCMay 2013 – no end date reportedEl Segundo, CA
- MR. Money Talks, LLCSep 2008 – no end date reportedEl Segundo, CA
- Indepdendent Financial Group LLCDec 2013 – Jan 2025El Segundo, CA
- Executive TAX Group Tri-star Income TaxserviceSep 1982 – no end date reportedEl Segundo, CA
- Omega ROTH Inc.Oct 2023 – no end date reportedEl Segundo, CA
- Atlas Shrugged Insurance Services IncOct 2023 – no end date reportedEl Segundo, CA
- Avantax Investment Services, Inc.Feb 2025 – Sep 2025El Segundo, CA
- Avantax Insurance Agency, LLCFeb 2025 – Sep 2025El Segundo, CA
- Avantax Advisory ServicesFeb 2025 – Sep 2025El Segundo, CA
- Cetera Wealth Services, LLCSep 2025 – no end date reportedEl Segundo, CA
- Cetera Investment Advisers LLCSep 2025 – no end date reportedSchaumburg, IL
Official records & sources
Data as of June 27, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Cetera Investment Advisers LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Advisory services, investment advisory services, custody services, insurance agency services, sweep programs, and retirement planning resources, along with access to registered and alternative investment products.
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 10,459
- Offices listed on AdvisorFinder:
- 27
- Main office:
- Schaumburg, IL
- SEC file number:
- 801-20406
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of August 13, 2026
View full firm profileOther advisors at Cetera Investment Advisers LLC
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Mark Steven Rothstein has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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