Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Barbara? Claim Your ProfileBarbara Kelly is a Registered Investment Advisor representative with AZA Capital Management, located in Chicago, IL. Barbara has been in the industry for over 30 years and holds Series 63, Series 65 and Series 7 licenses. Barbara has experience working with a variety of clients including high-net-worth individuals, corporations, and charitable organizations. Previously, Barbara was employed at TJM Investments, LLC, Rearden Securities LLC, Morgan Stanley DW Inc., Banc of America Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Salomon Brothers Inc.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
IL
07/18/2022 - Present
AZA Capital Management (CHICAGO IL)
IL
10/30/2007 - 10/23/2009
TJM INVESTMENTS, LLC (CHICAGO IL)
IL
05/15/2006 - 11/05/2007
REARDEN SECURITIES LLC (CHICAGO IL)
NY
07/03/2001 - 11/29/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
11/16/1999 - 07/02/2001
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
04/05/1995 - 11/11/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
09/17/1994 - 04/20/1995
SALOMON BROTHERS INC. (NEW YORK NY)
CT
08/08/1994 - 09/17/1994
ADVEST, INC. (HARTFORD CT)
NY
05/29/1991 - 06/29/1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 09/07/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/03/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/28/1991
Series 7 - General Securities Representative Examination
Active
Inactive
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