Barbara A. Kelley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Barbara Anne Kelley, who also goes by Barbara Kelley Cushman, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1986. Barbara had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 2001 - April 15, 2020
PACIFIC GLOBAL FUND DISTRIBUTORS, INC.
December 18, 1987 - June 1, 1999
TRANSAMERICA SECURITIES SALES CORPORATION
December 18, 1987 - October 14, 1999
TRANSAMERICA FINANCIAL ADVISORS, INC.
February 19, 1986 - January 12, 1988
OSAIC FS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PACIFIC GLOBAL FUND DISTRIBUTORS, INC.
CRD#: 30642 / SEC#: , 8-45110
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC GLOBAL INVESTMENT MANAGEMENT CO | CALIFORNIA CORPORATION | 106962 |
| HENNING, CATHERINE LEIGH | CHIEF COMPLIANCE OFFICER | 2930190 |
| HENNING, CATHERINE LEIGH | SECRETARY | 2930190 |
| HENNING, CATHERINE LEIGH | PRESIDENT & DIRECTOR | 2930190 |
| HENNING, GEORGE ALLEN | CHAIRMAN, CEO & DIRECTOR | 1319433 |
| KELLEY, BARBARA ANNE | DIRECTOR | 1460423 |
| YAN, JING JING | TREASURER | 4487755 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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