Scott R. Frank
STONE STEPS FINANCIAL
Encinitas, CA 92024
Some features on this profile are disabled
CRD#: 5408098
Professional summary
Scott Robert Frank, CFP® is a registered financial advisor currently at STONE STEPS FINANCIAL, LLC located in Encinitas, California.
Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Scott has worked at 2 firms and has passed the Series 65 exam.
Biography
I live in a little beach town, Cardiff by the Sea, just north of San Diego with my wife, Amanda, our son, Lucas, and our dogs, Maddie & Sofia. When I’m not geeking out on financial news or white papers you’ll find me surfing with friends (Stone Steps is named for a surf break just a few minutes north of my house), running along the Pacific Coast Highway, or spending time with my family.
Question & Answer
What are your service offerings?
Estate Planning
Investment Planning
Insurance Planning
Tax Planning
Education Planning
Employee and Employer Plan Ben...
Small Business Planning
Retirement Planning
Comprehensive Financial Planni...
Do you have an area of expertise or specialization?
AUM
Baby Boomers
Business Owners
Cash Flow/Budgets/Credit Issue...
Charitable Giving
College/Education Planning
What is your minimum asset requirement?
1
Are you a "fiduciary"?
Yes
Aliases
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Robert Frank's 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®
CFP®
Start date: 2014
Experience
Current
April 3, 2015 - Present
STONE STEPS FINANCIAL, LLC
Office #1: 533 Second Street, Suite 207, Encinitas, CA 92024RIA
CRD#: 175289
Encinitas, CA
Past
September 25, 2007 - March 3, 2015
WEATHERLY ASSET MANAGEMENT
RIA
CRD#: 106935
DEL MAR, CA
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".
STONE STEPS FINANCIAL, LLC
STONE STEPS FINANCIAL, LLC
CRD#: 175289 / SEC#: 801-131412
RIA
Registered Investment Advisory firm - (11/4/2024 Approved)California
Registered Investment Advisory firm - (4/3/2015 Approved)Texas
Registered Investment Advisory firm - (5/11/2017 Conditional Restricted)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(4/3/2015)
IAR
Texas(5/12/2017)
Current Firm
STONE STEPS FINANCIAL, LLC
STONE STEPS FINANCIAL, LLC
CRD#: 175289 / SEC#: 801-131412
RIA
Registered Investment Advisory firm - (11/4/2024 Approved)California
Registered Investment Advisory firm - (4/3/2015 Approved)Texas
Registered Investment Advisory firm - (5/11/2017 Conditional Restricted)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
533 Second Street, Suite 207, Encinitas, CA 92024
Mailing Address
Phone number
(760) 456-7147
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 402 |
| AUM (Assets Under Management) | $ 105,420,190 |
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.
