Maximilian B. 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.
Maximilian B Kelley, who also goes by Maximilian Kelley, Maximilian Brogan Kelley, was a registered financial professional .
Maximilian is a previously registered financial professional and started their career in finance in 2019. Maximilian had worked at 3 firms and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2025 - September 18, 2025
BARNABAS CAPITAL, LLC
September 11, 2020 - October 21, 2024
ICAPITAL MARKETS LLC
February 8, 2019 - January 23, 2020
GUGGENHEIM SECURITIES, 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
Series 7TO
Date: 2/8/2019
General Securities Representative ExaminationCurrent Firm
BARNABAS CAPITAL, LLC
CRD#: 297890 / SEC#: , 8-70192
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMBASSADOR CAPITAL, LLC | DIRECT OWNER | |
| CAPITAL CALL, LLC | DIRECT OWNER | |
| COOPER FAMILY ENTERPRISES, LLC | DIRECT OWNER | |
| ERICKA A. CAIN OR SUCCESSOR, AS TRUSTEE OF THE REVOCABLE TRUST OF ERICKA A. CAIN U/A/D JUNE 23, 2010 | DIRECT OWNER | |
| LEE, JOSEPH CHARLES JR | DIRECT OWNER | 2783885 |
| LIFE INNOVATIONS, LLC | DIRECT OWNER | |
| WILLIAM H. CAIN, OR SUCCESSOR, AS TRUSTEE OF THE REVOCABLE TRUST OF WILLIAN H. CAIN U/A/D JUNE 23, 2010 | DIRECT OWNER | |
| CAIN, ERICKA ADAMS MS. | TRUSTEE | |
| CAIN, WILLIAM HENRY | TRUSTEE | |
| ENTERLINE CAPITAL, LLC | DIRECT OWNER | |
| HAYES, SUSAN ANN | FINOP / PFO / POO | 2856326 |
| POWELL, JOSEPH CARL | PRESIDENT | 4798071 |
| STANTON, KIMBERLY MARIE | CHIEF COMPLIANCE OFFICER | 6574919 |
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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