Elizabeth S. Ottaway

POINTE CAPITAL MANAGEMENT LLC

Grosse Pointe Farms, MI 48236

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CRD#: 1323760

Professional summary

Elizabeth Somers Ottaway, CFP®, who also goes by Elizabeth Gallagher Somers, is a registered financial advisor currently at POINTE CAPITAL MANAGEMENT LLC located in Grosse Pointe Farms, Michigan.

Elizabeth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Elizabeth has worked at 4 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Elizabeth Gallagher Somers

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.

1) MEMBER OF CORPORATE COMMITTEE AT ST. VINCENT AND SARAH FISHER CENTER (NON-PROFIT); 2) CHAIR, INVESTMENT COMMITTEE YOUNG WOMEN'S HOME ASSOCIATION (NON-PROFIT); 3) CHAIR, INVESTMENT COMMITTEE OF TAU BETA ASSOCIATION (NON-PROFIT). THE TIME SPENT ON THESE ACTIVITIES MAY VARY THROUGHOUT THE YEAR BUT MAY INVOLVE UP TO 1% OF REGISTRANT'S TIME VIA THE REGISTRANT'S HOME OFFICE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Elizabeth Somers Ottaway'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

February 3, 2015 - Present

POINTE CAPITAL MANAGEMENT LLC

Office #1: 102 Kercheval Avenue Suite 200, Grosse Pointe Farms, MI 48236

RIA

CRD#: 152520

Grosse Pointe Farms, MI

Past

January 24, 2012 - October 31, 2014

FUNDS DISTRIBUTOR, LLC

CRD#: 7174

BIRMINGHAM, MI

Past

February 1, 2011 - November 10, 2014

MUNDER CAPITAL MANAGEMENT

RIA

CRD#: 106810

BIRMINGHAM, MI

Past

May 4, 2000 - December 6, 2005

FUNDS DISTRIBUTOR, LLC

CRD#: 7174

PORTLAND, ME

Past

August 19, 1999 - May 2, 2000

LPM INVESTMENT SERVICES, INC

CRD#: 33980

PALM BEACH, FL

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".

POINTE CAPITAL MANAGEMENT LLC

AFFINITY WEALTH SERVICES, LLC | POINTE CAPITAL MANAGEMENT LLC

CRD#: 152520 / SEC#: 801-70983

RIA

Registered Investment Advisory firm - (1/19/2010 Approved)

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

Michigan
(2/3/2015)

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

Series 63

Date: 8/21/2012

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/20/1996

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/31/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/23/2012

Investment Company Products/Variable Contracts Representative Examination

Current Firm

POINTE CAPITAL MANAGEMENT LLC

AFFINITY WEALTH SERVICES, LLC | POINTE CAPITAL MANAGEMENT LLC

CRD#: 152520 / SEC#: 801-70983

RIA

Registered Investment Advisory firm - (1/19/2010 Approved)

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Contact information

Main Address

102 Kercheval Avenue Suite 200, Grosse Pointe Farms, MI 48236

Mailing Address

Phone number

(313) 882-7100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

POINTE CAPITAL MANAGEMENT ADV 2A MARCH 2025 (3/14/2025)

Regulatory assets under management

Total Number of Accounts	437
AUM (Assets Under Management)	$ 437,163,000

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.

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Firm Stability Insights

Elizabeth S. Ottaway

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Elizabeth Somers Ottaway's CRS (Customer Relationship Summary).

Certified licenses

Experience

FUNDS DISTRIBUTOR, LLC

MUNDER CAPITAL MANAGEMENT

FUNDS DISTRIBUTOR, LLC

LPM INVESTMENT SERVICES, INC

Primary Firm SEC Registration

POINTE CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/21/2012

Series 65

Date: 8/20/1996

SIE

Date: 10/31/2014

Series 6

Date: 1/23/2012

Current Firm

POINTE CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

POINTE CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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