Mark Shuster
Managing Member at Shuster Advisory Group
Investment adviser representative in Pasadena, CA
From the SEC’s public record of this individual, checked on 17 September 2026.
Mark Shuster is a managing member of Shuster Advisory Group, LLC, a Pasadena-based SEC-registered investment adviser managing $10.32B. Mark has been registered through the firm since 29 January 2015, with 40 years in the industry across 6 firms, holds adviser registrations in California, Texas.
Counts are from the SEC record as checked on 17 September 2026. Years are measured to that date.
Role at Shuster Advisory Group#
- Title on Schedule A
- Managing Member
- Control
- Schedule A reports control-person status.
- Ownership
- Schedule A reports the 75% or more ownership band.
- Tenure
- Role reported since February 2014.
The firm
Shuster Advisory Group, LLC$10.32B regulatory AUM · 11 advisory staff · 1 officesFirm profileTitle and ownership as reported on Schedules A and B of the firm's Form ADV. Ownership percentages are the SEC's reporting bands, not exact figures. View Schedule A in the filing
Career on record#
- Global Retirement Partners Llc23 June 2026 to presentPasadena, CA · under a year · adviser representative only · firm CRD 172011
- Hub International Investment Services Inc.5 February 2026 to presentPasadena, CA · 1 year · adviser representative and broker · firm CRD 150252
- Kobo Retirement Strategies8 March 2017 to 23 June 2017Pasadena, CA · under a year · adviser representative only · firm CRD 283743
- Shuster Advisory Group, Llc29 January 2015 to presentPasadena, CA · 12 years · adviser representative only · firm CRD 170233
- The Sterling Group5 February 2014 to 31 August 2020Pasadena, CA · 7 years · adviser representative only · firm CRD 111782
- Equitable Advisors, Llc6 April 2000 to 3 January 2025Pasadena, CA · 25 years · adviser representative only · firm CRD 6627
Investment-adviser employment history in the IAPD record, newest first. The experience figure uses IAPD's calculation date of 11 June 1986, which may differ from the earliest registration below. View the IAPD record
Registrations and exams#
| State | Scope | Status | Since |
|---|---|---|---|
| California | Investment adviser representative | Approved | 29 January 2015 |
| Texas | Investment adviser representative | Approved | 21 July 2026 |
- Scope
- Investment adviser representative
- Status
- Approved
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 28 May 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 16 October 1998 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 7 | General Securities Representative Examination | 29 March 2000 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 12 May 1986 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
State adviser registrations currently approved, and the qualifying examinations on record. View the IAPD record
Regulatory record#
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one.
Where to check this individual's complete record, including any disciplinary history. View the IAPD record
Background#
Schedule A identifies Mark Allan Shuster as Managing Member, with the role acquired in February 2014. Form ADV Part 1A, Schedule A
Background statements are attributed to the named source. Firm biographies are not regulatory records.
Common questions#
What is Mark Shuster’s filed role?
Schedule A identifies Mark Allan Shuster as Managing Member, with the role acquired in February 2014.
Source: Form ADV Part 1A, Schedule A
What does IAPD report about Mark Shuster’s adviser registration?
IAPD reports a current investment-adviser registration through SHUSTER ADVISORY GROUP, LLC beginning 2015-01-29, checked 17 September 2026.
Answered from the records above.
Leadership at Shuster Advisory Group#
Joann ParrinoMember/Chief Compliance OfficerCRD 3110216
The other officers and owners named on the firm's Schedule A.
Sources
- IAPD individual record, CRD 1402702. Employment history, registrations and examinations.
- Form ADV Part 1A, Schedules A and B of Shuster Advisory Group, LLC, filed 20 May 2026. Title, control and ownership bands.
Retrieved 17 September 2026. The SEC record may have been amended since.
Report a correctionThis profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Simple Money is not affiliated with Mark Shuster or Shuster Advisory Group, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.
Simple Money Advisors LLC is a California-registered investment adviser. This page is not investment, tax, or legal advice and is not an offer of advisory services. Verify this individual's current record at adviserinfo.sec.gov and the firm's at its IAPD record before engaging an adviser. The portrait is reproduced from the firm’s website for identification.