Frank L. Scott

KELLEY INVESTMENTS

DEL MAR, CA

CRD#: 4029346

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Professional summary

Frank Laurence Scott, who also goes by Larry Scott, is a registered financial advisor currently at KELLEY INVESTMENTS located in Del Mar, California.

Frank is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Frank has worked at 5 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Larry Scott

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Laurence Scott's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 15, 2025 - Present

KELLEY INVESTMENTS

RIA

CRD#: 119099

DEL MAR, CA

Past

October 9, 2017 - December 31, 2024

KELLEY INVESTMENTS

RIA

CRD#: 119099

Encinitas, CA

Past

August 28, 2009 - September 27, 2016

CEROS FINANCIAL SERVICES, INC.

CRD#: 37869

DEL MAR, CA

Past

March 1, 2006 - December 31, 2009

KELLEY INVESTMENTS

RIA

CRD#: 119099

DEL MAR, CA

Past

March 1, 2006 - August 31, 2009

GUGGENHEIM DISTRIBUTORS, LLC

CRD#: 40805

DEL MAR, CA

Past

December 10, 2001 - February 2, 2006

LPL FINANCIAL LLC

RIA

CRD#: 6413

DEL MAR, CA

Past

November 20, 2001 - February 2, 2006

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

January 17, 2000 - November 27, 2001

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

SCHAUMBURG, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

KELLEY INVESTMENTS

KELLEY INVESTMENTS | KELLEY, CRAIG P | KELLEY INVESTMENTS, LLC

CRD#: 119099 / SEC#: 801-67645

RIA

Registered Investment Advisory firm - (3/7/2007 Approved)

California

Registered Investment Advisory firm - (3/21/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(4/15/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/15/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 11/1/1999

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 9/27/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/13/2000

General Securities Representative Examination

Current Firm

KELLEY INVESTMENTS

KELLEY INVESTMENTS | KELLEY, CRAIG P | KELLEY INVESTMENTS, LLC

CRD#: 119099 / SEC#: 801-67645

RIA

Registered Investment Advisory firm - (3/7/2007 Approved)

California

Registered Investment Advisory firm - (3/21/2007 Terminated)

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Contact information

Main Address

Del Mar, CA

Mailing Address

Phone number

(858) 350-1010

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KELLEY INVESTMENTS ADV PART 2 2026 (2/12/2026)

Regulatory assets under management

Total Number of Accounts	387
AUM (Assets Under Management)	$ 237,956,390

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Frank L. Scott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Laurence Scott's CRS (Customer Relationship Summary).

Certified licenses

Experience

KELLEY INVESTMENTS

CEROS FINANCIAL SERVICES, INC.

KELLEY INVESTMENTS

GUGGENHEIM DISTRIBUTORS, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CETERA FINANCIAL SPECIALISTS LLC

Primary Firm SEC Registration

KELLEY INVESTMENTS

State Registrations and Notice Filings

Exams

Series 65

Date: 8/15/2018

Series 66

Date: 11/1/1999

SIE

Date: 9/27/2016

Series 7

Date: 1/13/2000

Current Firm

KELLEY INVESTMENTS

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KELLEY INVESTMENTS

TRUST BUT VERIFY

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