Scott Frank has been Managing Member of Stone Steps Financial since March 2015, is a control person of the firm and directly owns 75% or more of it. Scott Frank holds a Bachelor of Science in Business Administration with an emphasis in Finance from the University of Colorado at Boulder.
Stone Steps Financial, LLC is an Encinitas, CA firm with $147M under management, 138 clients and 4 advisers across 7 offices, as of its March 2026 filing.
Scott R. Frank is Founder of Stone Steps Financial, a financial planning and investment management firm located in Encinitas, CA. He founded the firm in 2015 and co-hosts the Real Personal Finance podcast. He serves on the Leadership Development Committee for The National Association Of Personal Financial Advisors.
Scott Frank’s longest registration was 10 years at Stone Steps Financial, LLC (2015–2026). Before joining Stone Steps Financial in 2026, Scott Frank was registered through Weatherly Asset Management.
- Stone Steps Financial, LLCCurrent– present · under a yearEncinitas, CA · Adviser representative · Firm CRD 175289
- Weatherly Asset Management– · 7 yearsDel Mar, CA · Adviser representative · Firm CRD 106935
Professional designations
Listed by Stone Steps Financial
- Chartered Financial Analyst (CFA®)
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
- Registered Life Planner (RLP®)
Investment adviser representative registrations
Scott Frank is registered as an investment adviser representative in 2 states. Each was approved in May 2026.
- CaliforniaSince 7 May 2026
- TexasSince 7 May 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 24 September 2007 |
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Scott Robert Frank
- CRD
- 5408098
- Firm
- Stone Steps Financial · CRD 175289
- Role
- Managing Member
- Office
- 533 SECOND STREET, SUITE 207, Encinitas, CA 92024
- Registration
- Investment adviser registration
- In the industry since
- February 2008
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- stonestepsfinancial.com
Where does Scott Frank work?
Scott Frank has been Managing Member of Stone Steps Financial, LLC since March 2015, and is a control person of the firm.
Is Scott Frank a financial advisor?
Yes. Scott Frank has a current investment-adviser registration in California and Texas, through Stone Steps Financial since May 2026.
How many years of experience does Scott Frank have?
Scott Frank has 18 years in the financial industry, since February 2008, across 2 adviser firms.
What exams has Scott Frank passed?
Scott Frank passed the Series 65 in September 2007.
Where did Scott Frank work before Stone Steps Financial?
Before Stone Steps Financial, Scott Frank was registered through Weatherly Asset Management, September 2007 to March 2015.
Where is Scott Frank based?
Scott Frank’s registered office is in Encinitas, CA.
Is Scott Frank registered with FINRA?
No. Scott Frank has no current broker registration.
Is Scott Frank a CFP?
Stone Steps Financial lists Scott Frank with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
Is Scott Frank a CFA charterholder?
Stone Steps Financial lists Scott Frank with the CFA credential (“Chartered Financial Analyst (CFA®)”) on its website. CFA Institute confirms certification status.
How can I verify Scott Frank’s record?
Search CRD 5408098 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Scott Frank’s full registration record.
- Kingston HollmanChief Compliance Officer