A complete list of active advisors currently associated with Gateway Financial & Estate Planning, Inc.

Warmer can help you find a great advisor at Gateway Financial & Estate Planning, Inc. or one who fits your needs even better.

Gateway Financial & Estate Planning provides financial planning and consulting to individuals, pension and profit-sharing plans, trusts, estates, charitable organizations, and business entities. The firm does not directly manage client investment accounts; instead it refers clients to third‑party investment managers and serves as the liaison for implementation and ongoing client service. The firm’s work begins with a comprehensive analysis of cash flow, tax, estate and risk management issues to develop client‑specific investment policy statements and asset allocation guidance. For investment management, Gateway evaluates and recommends third‑party managers that offer model portfolios (strategic, tactical, allocation, preservation), delivers the managers’ disclosures, and monitors performance and quarterly reporting on clients’ behalf while clients are billed under the TPMs’ percentage‑of‑assets arrangements. Several features in the brochure distinguish Gateway from many peers: it discloses a 2021 consent order and penalty related to providing advisory services in a state without registration, and it reports that the firm’s principal has a significant outside insurance and federal benefits practice that may lead to insurance product recommendations. The firm also describes ownership and referral relationships linking its holding companies to one recommended third‑party manager, a connection the brochure identifies as a potential conflict of interest that the firm addresses through disclosure and fiduciary policies.

To learn more about the advisors currently working at Gateway Financial & Estate Planning, Inc., click on their names below to view their profiles, or click here to see them all on a map. Or, if you tell us about your needs, Warmer can help you find the best advisor for you.