Barbara A. Kazma
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 Ann Kazma, who also goes by Barbara Ann Benge, Barbara Ann Michels, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1987. Barbara had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 1996 - February 5, 2015
LASALLE ST SECURITIES, L.L.C.
September 1, 1992 - June 11, 1996
FIRSTAR INVESTMENT SERVICES,INC.
January 20, 1992 - August 27, 1992
WALNUT STREET SECURITIES, INC.
March 23, 1990 - December 6, 1990
OPPENHEIMER & CO. INC.
September 20, 1989 - March 23, 1990
B.C. CHRISTOPHER SECURITIES CO.
September 24, 1987 - June 20, 1989
AMERIPRISE FINANCIAL SERVICES, LLC
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
LASALLE ST SECURITIES, L.L.C.
CRD#: 7191 / SEC#: , 8-18860
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 15 |
| Arbitration | 4 |
| Bond | 1 |
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.
