Keith B. Southwick

STRAITGATE FINANCIAL L.L.C.

Northville, MI

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CRD#: 2522404

Professional summary

Keith Brian Southwick, CFP®, ChFC®, CLU® is a registered financial advisor currently at STRAITGATE FINANCIAL L.L.C. located in Northville, Michigan.

Keith is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Keith has worked at 5 firms and has passed the Series 63, Series 7, Series 6 and Series 24 exams.

Core Areas of Focus

Business Owners

Corporate Executives

Investment Advice with Ongoing Management

Retirement Plan Investment Advice

Retirement Planning & Distribution Rules

Tax Planning

Biography

We are firm believers that any plan requires adjustments along the way. Therefore, we offer ongoing service to our clients that can range from one to four meetings or calls annually. With this option, we can track your progress and help you to make any course corrections that may become necessary. Also, we will be there to help when your life takes a turn, whether it is for the good or for the bad.

Question & Answer

What are your service offerings?

Retirement Planning

Comprehensive Financial Planni...

Education Planning

Retirement Income Management

Investment Planning

Insurance Planning

Tax Planning

What is your minimum asset requirement?

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Brian Southwick's 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

Start date: 2002

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

April 1, 2011 - Present

STRAITGATE FINANCIAL L.L.C.

RIA

CRD#: 124798

Northville, MI

Past

January 1, 2004 - September 16, 2005

CETERA ADVISORS LLC

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

July 9, 1995 - January 1, 2004

VESTAX SECURITIES CORPORATION

CRD#: 10332

HUDSON, OH

Past

August 18, 1994 - June 6, 1995

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

August 18, 1994 - June 6, 1995

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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

Illinois
(5/13/2020)

IAR

Michigan
(4/1/2011)

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: 8/10/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/9/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/10/1994

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/9/1999

General Securities Principal Examination

Current Firm

STRAITGATE FINANCIAL L.L.C.

STRAITGATE FINANCIAL L.L.C. | STRAITGATE FINANCIAL LLC

CRD#: 124798 / SEC#:

Illinois

Registered Investment Advisory firm - (5/13/2020 Approved)

Michigan

Registered Investment Advisory firm - (5/13/2002 Approved)

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Contact information

Main Address

Northville, MI

Mailing Address

P.o. Box 320, South Lyon, MI 48178

Phone number

(248) 465-6227

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	131
AUM (Assets Under Management)	$ 18,130,252

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Keith B. Southwick

Professional summary

Core Areas of Focus

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Brian Southwick's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

VESTAX SECURITIES CORPORATION

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/10/1994

Series 7

Date: 9/9/1999

Series 6

Date: 8/10/1994

Series 24

Date: 11/9/1999

Current Firm

STRAITGATE FINANCIAL L.L.C.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

STRAITGATE FINANCIAL L.L.C.

TRUST BUT VERIFY

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