Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Steven Rothstein is a financial advisor with Avantax Advisory Services. Mark has been in the financial services industry since 1983. Mark has a broad range of experience providing financial advice to individuals, families, and businesses. Mark is a Certified Financial Planner™ professional and is registered with the Securities and Exchange Commission (SEC) and several states. Mark also holds a variety of professional licenses and designations. Mark's primary office is located in EL SEGUNDO, CA but Mark is also registered to provide services in ID and TX.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Solicitor referral services to third-party investment managers; participant enrollment meetings
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Solicitor fees
1
2
TX
02/11/2025 - Present
Avantax Advisory Services (DALLAS TX)
CA
05/23/2013 - 12/19/2013
PURSHE KAPLAN STERLING INVESTMENTS (EL SEGUNDO CA)
CA
07/27/2010 - 04/11/2013
CENTAURUS FINANCIAL, INC. (EL SEGUNDO CA)
CA
12/16/1992 - 08/10/2010
LPL FINANCIAL CORPORATION (EL SEGUNDO CA)
CA
10/03/1983 - 12/17/1992
TRIPLE CHECK FINANCIAL SERVICES, INC. (BURBANK CA)
NA
06/26/1984 - 12/18/1986
SENTRA SECURITIES CORPORATION
NA
12/21/1982 - 07/26/1983
E.A.C. SECURITIES, LTD.
BC
Issued 12/22/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/30/1993
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/18/1982
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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