DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Mark Steven Rothstein
Certified Financial Planner
Feed of 09/15/2026
At current firm
1 y
since Sep 5, 2025
In the industry
44 y
since Sep 1, 1982 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Cetera Investment Advisers LLC BD affiliated currentsince Sep 5, 2025 · Meridian, Id
- Avantax Advisory Services formerFeb 10, 2025 to Sep 5, 2025 · Dallas, Tx
- Independent Financial Group, LLC BD affiliatedDec 16, 2013 to Feb 10, 2025 · El Segundo, Ca
- Tri-Star Financial formerJan 14, 2011 to Mar 6, 2020 · El Segundo, Ca
- Centaurus Financial, Inc. BD affiliatedJul 28, 2010 to Apr 11, 2013 · Anaheim, Ca
- Tri-Star Financial formerNov 12, 2008 to Dec 31, 2010 · El Segundo, Ca
- Harmoney Financial Advisors, LLC unclassifiedJul 18, 2006 to Dec 31, 2006 · Los Angeles, Ca
- LPL Financial LLC BD affiliatedMay 12, 1997 to Aug 10, 2010 · El Segundo, Ca
Moves
a registration end followed by a registration begin elsewhere
- Avantax Advisory Services to Cetera Investment Advisers LLCleft Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
- Independent Financial Group, LLC to Avantax Advisory Servicesleft Feb 10, 2025, registered Feb 10, 2025 (0 days) · Affiliated broker-dealer or bank to another
- Tri-Star Financial to Independent Financial Group, LLCleft Mar 6, 2020, registered Dec 16, 2013 (-2272 days) · Other · moved with a team
- Centaurus Financial, Inc. to Tri-Star Financialleft Apr 11, 2013, registered Jan 14, 2011 (-818 days) · Other
- Tri-Star Financial to Centaurus Financial, Inc.left Dec 31, 2010, registered Jul 28, 2010 (-156 days) · Other
- LPL Financial LLC to Harmoney Financial Advisors, LLCleft Aug 10, 2010, registered Jul 18, 2006 (-1484 days) · Other
- Harmoney Financial Advisors, LLC to Tri-Star Financialleft Dec 31, 2006, registered Nov 12, 2008 (682 days) · Other
Signals
- Mark Steven Rothstein left Independent Financial Group, Llc for Avantax Advisory Services (registered 2025-02-10)Feb 10, 2025 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address