# MARK STEVEN ROTHSTEIN

MARK STEVEN ROTHSTEIN is an investment adviser representative (IAR) with state registration records since 1997, appearing at 7 firms. Currently registered with CETERA INVESTMENT ADVISERS LLC.

## Registration history (8)

| Firm | From | To | Current |
| --- | --- | --- | --- |
| [CETERA INVESTMENT ADVISERS LLC](https://search.stillhousedata.com/firm/105644) | 2025-09-05 | present | Yes |
| [AVANTAX ADVISORY SERVICES](https://search.stillhousedata.com/firm/104556) | 2025-02-10 | 2025-09-05 | — |
| [INDEPENDENT FINANCIAL GROUP, LLC](https://search.stillhousedata.com/firm/7717) | 2013-12-16 | 2025-02-10 | — |
| [TRI-STAR FINANCIAL](https://search.stillhousedata.com/firm/148450) | 2011-01-14 | 2020-03-06 | — |
| [CENTAURUS FINANCIAL, INC.](https://search.stillhousedata.com/firm/30833) | 2010-07-28 | 2013-04-11 | — |
| [TRI-STAR FINANCIAL](https://search.stillhousedata.com/firm/148450) | 2008-11-12 | 2010-12-31 | — |
| [HARMONEY FINANCIAL ADVISORS, LLC](https://search.stillhousedata.com/firm/137660) | 2006-07-18 | 2006-12-31 | — |
| [LPL FINANCIAL LLC](https://search.stillhousedata.com/firm/6413) | 1997-05-12 | 2010-08-10 | — |

## More

- [This representative on SEC IAPD (source of record)](https://adviserinfo.sec.gov/individual/summary/1084659)
- [This page as markdown (for LLM agents)](https://search.stillhousedata.com/rep/1084659.md)
- [Search all SEC filings, advisers and people on Adviser Search](https://search.stillhousedata.com/)

---

Source: public SEC filing data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.