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JK

Joshua R. Keith

LAGUNA CAPITAL MANAGEMENT
Santa Barbara, CA 93108
Some features on this profile are disabled
CRD#: 3275818
JK

Professional summary

Joshua Robert Keith is a registered financial advisor currently at LAGUNA CAPITAL MANAGEMENT, INC. located in Santa Barbara, California.

Joshua is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Joshua has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 3 exams.

top-8-questions

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. PROVIDENCE SCHOOL; NOT INVESTMENT RELATED; 3226 CALLE PINON, SANTA BARBARA, CA 93105; SCHOOL; MEMBER OF BOARD OF DIRECTORS; CHAIR OF BOARD OF DIRECTORS; JANUARY 2022; 13 HRS/MONTH; 5 HRS DURING TRADING HRS; A BOARD MEMBER WORKS WITH THE HEAD OF THE SCHOOL TO PROVIDE COUNSEL AND GUIDANCE REGARDING SCHOOL MATTERS AND TO ENSURE THE SCHOOL IS ACCOMPLISHING ITS MISSION

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Robert 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

November 5, 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

November 6, 2015 - December 14, 2015

LPL FINANCIAL LLC

RIA
CRD#: 6413
SANTA BARBARA, CA
Past

September 8, 2009 - December 14, 2015

LPL FINANCIAL LLC

BD
CRD#: 6413
SANTA BARBARA, CA
Past

July 22, 2009 - September 8, 2009

ASSOCIATED SECURITIES CORP.

BD
CRD#: 12969
SANTA BARBARA, CA
Past

September 28, 2001 - August 16, 2007

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
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
California
(11/5/2015)
IAR
Nebraska
(9/9/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/5/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/21/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/14/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/27/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 9/2/1999
National Commodity Futures Examination

Current Firm

LC
LAGUNA CAPITAL MANAGEMENT, INC.
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
5

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts318
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.

Company Information

LAGUNA CAPITAL MANAGEMENT, INC.

CRD#: 269869Santa Barbara, CA 93108

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