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Joshua Robert Keith

Laguna Capital Management, Inc.

Santa Barbara, CA

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Current Employers
Laguna Capital Management, Inc.

1225 Coast Village Road Suite G, Santa Barbara, CA 93108 • United States

Current Registrations

AuthorityCategoryStatusDate
NE RA APPROVED 2021-09-09
CA RA APPROVED 2015-11-05
  • NE RA
    APPROVED
    Since 2021-09-09
  • CA RA
    APPROVED
    Since 2015-11-05

Branch Locations

1225 Coast Village Road Suite G, Santa Barbara, CA 93108 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Laguna Capital Management, Inc. Santa Barbara CA 09/2015 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-11-05
S63 Uniform Securities Agent State Law Examination 2001-09-21
  • S65 Uniform Investment Adviser Law Examination
    2015-11-05
  • S63 Uniform Securities Agent State Law Examination
    2001-09-21

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SANTA BARBARA, CA
CERITY PARTNERS LLC · SANTA BARBARA, CA
CERITY PARTNERS LLC · SANTA BARBARA, CA
J.P. MORGAN SECURITIES LLC · SANTA BARBARA, CA
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC · Santa Barbara, CA
KINGSWOOD WEALTH ADVISORS, LLC · Santa Barbara, CA
MORGAN STANLEY · Santa Barbara, CA
LPL FINANCIAL LLC · SANTA BARBARA, CA

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