Barbara J. Kelly

AZA CAPITAL MANAGEMENT

Chicago, IL 60604

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CRD#: 2126583

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.

Since October 2017, Ms. Kelly has served as the Director of McLennan Partners Ltd. ("McLennan") located at 28 Queensgate, Inverness, Scotland. McLennan is not an investment-related business. McLennan is a UK Company organized in for the purpose of investing in a Bed & Breakfast. On a monthly basis, approximately 3 hours during non-trading hours are spent on company matters. Since January 2017, Ms. Kelly has served as the owner of Mint Private Enterprises, LLC ("Mint") located at 4375 Hampton Ave, Western Springs IL 60558. Mint is not an investment-related business. Mint provides administrative services for a family office in the areas of record keeping trust administration, and coordination with third parties. On a weekly basis, approximately 2.5 hours during both normal trading and non-trading hours are spent on record keeping and coordinating with legal and accounting service providers.

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

CRD#: 46300

CHICAGO, IL

Past

May 15, 2006 - November 5, 2007

NORTHWATER CAPITAL MARKETS, LLC

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.

CRD#: 7556

PURCHASE, NY

Past

November 16, 1999 - July 2, 2001

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

April 5, 1995 - November 11, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

September 17, 1994 - April 20, 1995

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

Past

August 8, 1994 - September 17, 1994

ADVEST, INC.

CRD#: 10

HARTFORD, CT

Past

May 29, 1991 - June 29, 1994

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

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".

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)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/7/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/3/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/28/1991

General Securities Representative Examination

Current Firm

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)

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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

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AZA CAPITAL MANAGEMENT ADV PART 2 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	845
AUM (Assets Under Management)	$ 313,995,693

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/18/2025	Cover Page	Report
11/13/2024	Cover Page	Report
12/14/2023	Cover Page	Report
02/14/2023	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.

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Firm Stability Insights

Barbara J. Kelly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Barbara Jean Kelly's CRS (Customer Relationship Summary).

Certified licenses

Experience

CASTLEVIEW PARTNERS, LLC

TJM INVESTMENTS, LLC

NORTHWATER CAPITAL MARKETS, LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

BANC OF AMERICA SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

SALOMON BROTHERS INC.

ADVEST, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

AZA CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 9/7/1999

Series 63

Date: 4/3/1992

Series 7

Date: 5/28/1991

Current Firm

AZA CAPITAL MANAGEMENT

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

AZA CAPITAL MANAGEMENT

TRUST BUT VERIFY

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