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BK

Barbara J. Kelly

AZA CAPITAL MANAGEMENT
Chicago, IL 60604
Some features on this profile are disabled
CRD#: 2126583
BK

Professional summary

Barbara Jean Kelly, who also goes by Barbara Graham, is a registered financial advisor currently at AZA CAPITAL MANAGEMENT located in Chicago, Illinois.

Barbara is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Barbara has worked at 9 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Barbara Graham

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Barbara Jean Kelly's CRS (Customer Relationship Summary).
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®
None

Experience

Current

July 18, 2022 - Present

AZA CAPITAL MANAGEMENT

Office #1: 141 W Jackson Blvd Suite 3332, Chicago, IL 60604
RIA
CRD#: 109784
Chicago, IL
Past

July 18, 2018 - July 18, 2022

CASTLEVIEW PARTNERS, LLC

RIA
CRD#: 281410
Rosemont, IL
Past

October 30, 2007 - October 23, 2009

TJM INVESTMENTS, LLC

BD
CRD#: 46300
CHICAGO, IL
Past

May 15, 2006 - November 5, 2007

NORTHWATER CAPITAL MARKETS, LLC

BD
CRD#: 120965
CHICAGO, IL
Past

July 18, 2001 - November 29, 2005

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
RIVERWOODS, IL
Past

July 3, 2001 - November 29, 2005

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

November 16, 1999 - July 2, 2001

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

April 5, 1995 - November 11, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

September 17, 1994 - April 20, 1995

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY
Past

August 8, 1994 - September 17, 1994

ADVEST, INC.

BD
CRD#: 10
HARTFORD, CT
Past

May 29, 1991 - June 29, 1994

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AC
AZA CAPITAL MANAGEMENT
ACENTUS PARTNERS | INSIGHT 2811 INC | AZA CAPITAL MANAGEMENT | ARTHUR ZASKE & ASSOCIATES

CRD#: 109784 / SEC#: 801-54428

RIA
Registered Investment Advisory firm - (5/12/1997 Approved)

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
Illinois
(7/18/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/7/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/3/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/28/1991
General Securities Representative Examination

Current Firm

AC
AZA CAPITAL MANAGEMENT
ACENTUS PARTNERS | INSIGHT 2811 INC | AZA CAPITAL MANAGEMENT | ARTHUR ZASKE & ASSOCIATES

CRD#: 109784 / SEC#: 801-54428

RIA
Registered Investment Advisory firm - (5/12/1997 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
141 W Jackson Blvd Suite 3332, Chicago, IL 60604
Mailing Address
Phone number
(312) 429-0880
Established
Firm type
Fiscal year end
# of Employees
8

SEC notice filing (13 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

AZA CAPITAL MANAGEMENT ADV PART 2 (3/18/2026)

Regulatory assets under management

Total Number of Accounts839
AUM (Assets Under Management)$ 339,567,276

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
08/18/2025
Cover Page
Report
11/13/2024
Cover Page
Report
12/14/2023
Cover Page
Report

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.

Company Information

AZA CAPITAL MANAGEMENT

CRD#: 109784Chicago, IL 60604

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