Jonathan D. Keith

LAGUNA CAPITAL MANAGEMENT

Jenks, OK

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CRD#: 5962746

Professional summary

Jonathan David Keith, CFP®, who also goes by Jonathan Keith, is a registered financial advisor currently at LAGUNA CAPITAL MANAGEMENT, INC. located in Jenks, Oklahoma.

Jonathan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Jonathan has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jonathan 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. I serve on the Board of Directors of a local Santa Barbara Non-Profit entitled 'Santa Barbara Police Activities League'. I began serving on the board in September 2017, and as of November 2019, I serve as Vice President. I spend, on average, 1 hour each month (attending a 2 hour meeting every two months) on this role. I receive no compensation for these duties.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan David 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®

CFP^®

Certified Financial Planner

Experience

Current

December 4, 2015 - Present

LAGUNA CAPITAL MANAGEMENT, INC.

RIA

CRD#: 269869

Jenks, OK

Past

October 10, 2012 - December 14, 2015

LPL FINANCIAL LLC

RIA

CRD#: 6413

SANTA BARBARA, CA

Past

September 27, 2012 - December 14, 2015

LPL FINANCIAL LLC

CRD#: 6413

SANTA BARBARA, CA

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
(12/4/2015)

IAR

Oklahoma
(1/11/2024)

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 66

Date: 10/9/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/14/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/26/2012

General Securities Representative 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.

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Jonathan D. Keith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan David Keith's CRS (Customer Relationship Summary).

Certified licenses

Experience

LAGUNA CAPITAL MANAGEMENT, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/9/2012

SIE

Date: 12/14/2015

Series 7

Date: 9/26/2012

Current Firm

LAGUNA CAPITAL MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

LAGUNA CAPITAL MANAGEMENT, INC.

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