Mary E. Brennan

STONE STEPS FINANCIAL

Encinitas, CA 92024

Some features on this profile are disabled

CRD#: 5716708

Professional summary

Mary Ellen Brennan, CFP®, who also goes by Mary Ellen Mckeown Brennan, Mary Ellen Mckeown, is a registered financial advisor currently at STONE STEPS FINANCIAL, LLC located in Encinitas, California.

Mary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Mary has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mary Ellen Mckeown Brennan | Mary Ellen Mckeown

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.

Sole Proprietor, Mary Brennan Nature of the business: Bookkeeping Start date: March 2013 Address: 3755 Avocado Blvd, Unit 143 La Mesa CA 91941 Devote 2 hours per month on average Not Investment Related No hours devoted to this business during securities trading hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mary Ellen Brennan'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®

CFP^®

Certified Financial Planner

Experience

Current

March 24, 2020 - Present

STONE STEPS FINANCIAL, LLC

Office #1: 533 Second Street, Suite 207, Encinitas, CA 92024

RIA

CRD#: 175289

Encinitas, CA

Past

October 14, 2009 - March 20, 2013

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

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
(3/24/2020)

IAR

Texas
(3/24/2020)

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: 10/13/2009

Uniform Investment Adviser Law Examination

Current Firm

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

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (10/9/2025)

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.

Similar Advisors

Alice Ruiz

SCHWAB WEALTH ADVISORY, INC.

IAR

San Diego, CA

Nilay Barefield

CETERA INVESTMENT ADVISERS LLC

IAR

San Diego, CA

Lorenzo Lucas

J.P. MORGAN SECURITIES LLC

La Jolla, CA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Mary E. Brennan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mary Ellen Brennan's CRS (Customer Relationship Summary).

Certified licenses

Experience

STONE STEPS FINANCIAL, LLC

WEATHERLY ASSET MANAGEMENT

Primary Firm SEC Registration

STONE STEPS FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/13/2009

Current Firm

STONE STEPS FINANCIAL, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STONE STEPS FINANCIAL, LLC

TRUST BUT VERIFY

Similar Advisors