Keith D. Smith

TURNER CAPITAL INVESTMENTS

Shady Shores, TX

Some features on this profile are disabled

CRD#: 2219973

Professional summary

Keith Douglas Smith is a registered financial advisor currently at TURNER CAPITAL INVESTMENTS, LLC located in Shady Shores, Texas.

Keith is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Keith has worked at 8 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

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.

1.) ERISA GROUP, LLC, not investment related, 117 Mustang Trail, Shady Shores, TX 76208, employee benefits/fixed insurance, sole proprietor/broker/owner, 01/2011, approx 25-30 hours per month Monday through Friday as needed, employee benefit sales. 2.) Hub International Group, not investment related, 520 Central Parkway East, Suite 300, Plano, TX 75074, third party administrator of health, welfare and pension plans, senior account representative, 04/2018, approx 40 hours per week, marketing employee benefits.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Douglas Smith'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®

None

Experience

Current

November 27, 2017 - Present

TURNER CAPITAL INVESTMENTS, LLC

RIA

CRD#: 146134

Shady Shores, TX

Past

Michigan

Registered Investment Advisory firm - (4/28/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Texas
(11/27/2017)

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

IAR

Series 65

Date: 6/11/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/10/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 4/29/1992

Investment Company Products/Variable Contracts Representative Examination

Current Firm

TURNER CAPITAL INVESTMENTS, LLC

SABINAL CAPITAL INVESTMENTS, LLC | TURNER CAPITAL INVESTMENTS, LLC

CRD#: 146134 / SEC#: 801-120964

RIA

Registered Investment Advisory firm - (4/23/2021 Approved)

California

Registered Investment Advisory firm - (8/22/2021 Terminated)

Florida

Registered Investment Advisory firm - (4/28/2021 Terminated)

Michigan

Registered Investment Advisory firm - (4/28/2021 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

9442 Capital Of Texas Hwy N Arboretum Plaza One, Suite 500, Austin, TX 78759

Mailing Address

Phone number

(855) 678-8200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (29 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE (6/17/2025)

Regulatory assets under management

Total Number of Accounts	716
AUM (Assets Under Management)	$ 127,824,174

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Keith D. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Douglas Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

WALNUT STREET SECURITIES, INC.

SIGNAL SECURITIES, INC.

AMERICAN GENERAL SECURITIES INCORPORATED

INVESTORS CAPITAL CORP.

MOMENTUM INDEPENDENT NETWORK INC.

MOMENTUM INDEPENDENT NETWORK INC.

AVANTAX INVESTMENT SERVICES, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

TURNER CAPITAL INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/11/2016

Series 63

Date: 4/10/1992

Series 6

Date: 4/29/1992

Current Firm

TURNER CAPITAL INVESTMENTS, LLC

Contact information

SEC notice filing (29 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TURNER CAPITAL INVESTMENTS, LLC

TRUST BUT VERIFY

Similar Advisors