Keith plays an important role in Summit’s ability to operate as a successful practice. As Manager of Compliance, 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 has over 30 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. Keith enjoys golf, camping, hiking … pretty much all outdoor activities. He and his wife, Lisa, especially like taking tropical vacations to spend time at the beach, play in the waves, and enjoy some snorkeling.