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Scott Robert Frank

Stone Steps Financial, LLC

Encinitas, CA

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Current Employers
Stone Steps Financial, Llc

533 Second Street, Suite 207, Encinitas, CA 92024 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2026-05-07
TX RA APPROVED 2026-05-07
  • CA RA
    APPROVED
    Since 2026-05-07
  • TX RA
    APPROVED
    Since 2026-05-07

Branch Locations

533 Second Street, Suite 207, Encinitas, CA 92024 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Stone Steps Financial, Llc Encinitas CA 02/2015 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-09-24
  • S65 Uniform Investment Adviser Law Examination
    2007-09-24
Designations

View on SEC IAPD

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Other Offices

CETERA INVESTMENT ADVISERS LLC · ENCINITAS, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Encinitas, CA
WELLS FARGO CLEARING SERVICES, LLC · ENCINITAS, CA
EDWARD JONES · ENCINITAS, CA
LPL FINANCIAL LLC · ENCINITAS, CA
J.P. MORGAN SECURITIES LLC · ENCINITAS, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · ENCINITAS, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Encinitas, CA

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