Keith plays an important role in Summit’s ability to operate as a successful financial firm. As a compliance principal, he’s responsible for the rules and regulations governing our activities and ensuring our processes are meeting regulatory requirements. In addition, Keith oversees the data reporting our advisors receive to help them run efficient and proactive practices.
Keith comes to Summit with more than 25 years of financial services industry experience and holds the Series 4, 7, 24, 53, 63, and 65 licenses. His goal is to continually evaluate and help improve business processes and client service at Summit to ensure our clients, our advisors, and our employees have the best experience possible.
Born and raised in Texas, Keith moved to California at the onset of his financial services career while serving in the Marine Corps Reserves. He lives in Concord with his wife, Lisa, who is decidedly his better half. Keith enjoys golf, camping, hiking … pretty much all outdoor activities. He and Lisa especially enjoy entertaining friends and family on their backyard bocce court, which he and Lisa conceived, designed and built themselves.
Keith is a registered representative and investment advisor representative with Securian Financial Services, Inc. and a registered principal.
Check the background of this firm on FINRA BrokerCheck