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Scott Robert Frank

STONE STEPS FINANCIAL, LLC·ENCINITAS, California
Series 65Clean record18 years registeredSTONE STEPS FINANCIAL, LLC
533 SECOND STREET, SUITE 207, ENCINITAS, CA 92024CRD# 5408098Firm CRD# 175289

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Scott Robert Frank · ENCINITAS, CA
Registration
CRD #5408098 · STONE STEPS FINANCIAL, LLC · 18 years registered
Brand Profile
Not yet started
01

Career History

STONE STEPS FINANCIAL, LLC
May 2026 – present
STONE STEPS FINANCIAL, LLC
Apr 2015 – Jan 2026
ENCINITAS, CA
WEATHERLY ASSET MANAGEMENT
Sep 2007 – Mar 2015
DEL MAR, CA
02

Registrations & Exams

FINRA examinations passed
Series 65
Registration record
First registered · September 25, 2007
Years registered · 18
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
STONE STEPS FINANCIAL, LLC
CRD 175289 · SEC 801-131412
AUM
$105M
Regulatory assets under management
Employees
4
84 client accounts
Services offered by STONE STEPS FINANCIAL, LLC
Per Form ADV
Financial planning
Portfolio management (individuals)
Publication of periodicals/newsletters
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
View all advisors at STONE STEPS FINANCIAL, LLC →
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05

Frequently Asked Questions

What services does Scott Robert Frank offer?
Scott Robert Frank specializes in Financial Planning, Investment Management. Contact their office in ENCINITAS, California for a consultation.
What are Scott Robert Frank's credentials?
Scott Robert Frank is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Scott Robert Frank located?
Scott Robert Frank is based in ENCINITAS, California, working with STONE STEPS FINANCIAL, LLC. Their office serves clients in the ENCINITAS metropolitan area and surrounding communities.
How does Scott Robert Frank charge for services?
Scott Robert Frank's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is STONE STEPS FINANCIAL, LLC?
STONE STEPS FINANCIAL, LLC has approximately 4 employees and manages $105M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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