Keith D. Smith

TURNER CAPITAL INVESTMENTS

Shady Shores, TX

CRD#: 2219973

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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.

The advisor shows no other business activity.

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

December 18, 2008 - January 14, 2010

WALNUT STREET SECURITIES, INC.

CRD#: 15840

DALLAS, TX

Past

January 3, 2006 - December 31, 2006

SIGNAL SECURITIES, INC.

CRD#: 15916

DALLAS, TX

Past

January 6, 1999 - August 26, 2004

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

PHOENIX, AZ

Past

September 20, 1997 - December 31, 1998

INVESTORS CAPITAL CORP.

CRD#: 30613

LYNNFIELD, MA

Past

March 13, 1996 - December 31, 1996

MOMENTUM INDEPENDENT NETWORK INC.

CRD#: 17587

DALLAS, TX

Past

April 21, 1995 - December 31, 1995

MOMENTUM INDEPENDENT NETWORK INC.

CRD#: 17587

DALLAS, TX

Past

February 28, 1994 - April 17, 1995

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

May 1, 1992 - July 20, 1992

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

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".

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)

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)

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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 (3/13/2026)

Regulatory assets under management

Total Number of Accounts	337
AUM (Assets Under Management)	$ 107,167,153

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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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

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