TRI-STAR FINANCIAL SERVICES LLC
Legal name: TRI-STAR FINANCIAL
CRD #148450 SEC #801-78485 EL SEGUNDO, CA 310-414-1500
SEC Registered
Total AUM
$49.4M
Discretionary
$0
Employees
4
Clients
0
Accounts
1,109
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- California
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Feb 5, 2020
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| MAURO, ANTHONY, VICTOR | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROTHSTEIN, MARK, STEVEN | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | Control |
| ROTHSTEIN, MARK, STEVEN | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | Control |
| ROTHSTEIN, MARK, STEVEN | I | MANAGING MEMBER | E | Control |
| ROTHSTEIN, MARK, STEVEN | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | Control |
| ROTHSTEIN, MARK, STEVEN | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | Control |
| ROTHSTEIN, MARK, STEVEN | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | Control |
| ROTHSTEIN, MARK, STEVEN | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | Control |
| ROTHSTEIN, MARK, STEVEN | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | Control |
| ROTHSTEIN, MARK, STEVEN | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | Control |
| ROTHSTEIN, MARK, STEVEN | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | Control |
| ROTHSTEIN, MARK, STEVEN | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | Control |
| ROTHSTEIN, MARK, STEVEN | I | MANAGING MEMBER, CHIEF COMPLIANCE OFFICER & CHIEF EXECUTIVE OFFICER | E | Control |
| ROTHSTEIN, MARK, STEVEN | I | MANAGING MEMBER, CHIEF COMPLIANCE OFFICER & CHIEF EXECUTIVE OFFICER | E | Control |
Registrations
Federal
IA
Feb 5, 2020 REGISTERED
Notice Filings (26)
AZ CA CO CT FL GA HI IL IN MD MI MO NC NH NJ NV NY OH OK OR PA SC TN TX VA WA
Address
201 CONTINENTAL BOULEVARDSUITE 310
EL SEGUNDO, CA 90245
United States
Phone: 310-414-1500