Robert K. Keith

LAGUNA CAPITAL MANAGEMENT

Santa Barbara, CA 93108

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CRD#: 265112

Professional summary

Robert Kenworth Keith, who also goes by R. Kenworth Keith, is a registered financial advisor currently at LAGUNA CAPITAL MANAGEMENT, INC. located in Santa Barbara, California.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1974. Robert has worked at 10 firms and has passed the Series 63, Series 7TO, SIE, Series 15, Series 1, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

R. Kenworth Keith

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. Laguna Capital Management, Inc. Investment Related, Address: 1225 Coast Village Road, Suite # G, Santa Barbara, CA 93108, RIA, Position: Principal, Start Date: 09/2015, 2 hours devoted a month, Duties: Financial planning offered on a hourly-fee basis. 2. Pneuma Partners LLC; not investment related; N/A; a passive special purpose investment vehicle created to hold restricted shares; member; trust member; LLC started November 2019; 0.5 hrs/month; 0 hours during trading hours; minimal responsibilities - gives Oak Creek Holdings company a call monthly

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Kenworth Keith'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®

None

Experience

Current

August 28, 2015 - Present

LAGUNA CAPITAL MANAGEMENT, INC.

Office #1: 1225 Coast Village Road Suite G, Santa Barbara, CA 93108

RIA

CRD#: 269869

Santa Barbara, CA

Past

December 7, 2015 - July 31, 2023

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Santa Barbara, CA

Past

September 8, 2009 - December 14, 2015

LPL FINANCIAL LLC

RIA

CRD#: 6413

SANTA BARBARA, CA

Past

September 8, 2009 - December 14, 2015

LPL FINANCIAL LLC

CRD#: 6413

SANTA BARBARA, CA

Past

July 17, 2003 - September 8, 2009

ASSOCIATED SECURITIES CORP.

RIA

CRD#: 12969

SANTA BARBARA, CA

Past

July 17, 2003 - October 13, 2009

ASSOCIATED PLANNERS INVESTMENT ADVISORY INC

RIA

CRD#: 104790

SANTA BARBARA, CA

Past

April 7, 2003 - September 8, 2009

ASSOCIATED SECURITIES CORP.

CRD#: 12969

SANTA BARBARA, CA

Past

March 27, 1998 - April 14, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

SANTA BARBARA, CA

Past

April 17, 1995 - April 14, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

October 7, 1988 - May 9, 1995

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

April 11, 1988 - October 25, 1988

LEHMAN BROTHERS INC.

CRD#: 7506

Past

June 4, 1985 - April 11, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

March 22, 1974 - June 3, 1985

RICHARDSON GREENSHIELDS SECURITIES INC.

CRD#: 3178

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

California
(8/28/2015)

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: 6/19/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 15

Date: 6/5/1984

Foreign Currency Options Examination

General Industry/Product Exam

Series 1

Date: 8/13/1974

Registered Representative Examination

Principal/Supervisory Exam

Series 4

Date: 1/2/2023

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 7/17/2007

General Securities Principal Examination

Current Firm

LAGUNA CAPITAL MANAGEMENT, INC.

CRD#: 269869 / SEC#:

California

Registered Investment Advisory firm - (8/28/2015 Approved)

Nebraska

Registered Investment Advisory firm - (9/8/2021 Approved)

Oklahoma

Registered Investment Advisory firm - (1/11/2024 Approved)

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Contact information

Main Address

1225 Coast Village Road Suite G, Santa Barbara, CA 93108

Mailing Address

Phone number

(805) 969-9935

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	318
AUM (Assets Under Management)	$ 80,085,547

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.

Contact information

xxxxx@xxxx.xxx

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Robert K. Keith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Kenworth Keith's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

LPL FINANCIAL LLC

LPL FINANCIAL LLC

ASSOCIATED SECURITIES CORP.

ASSOCIATED PLANNERS INVESTMENT ADVISORY INC

ASSOCIATED SECURITIES CORP.

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

UBS FINANCIAL SERVICES INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

RICHARDSON GREENSHIELDS SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/19/1995

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 15

Date: 6/5/1984

Series 1

Date: 8/13/1974

Series 4

Date: 1/2/2023

Series 24

Date: 7/17/2007

Current Firm

LAGUNA CAPITAL MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

LAGUNA CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

Contact information

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