KIMELMAN & BAIRD, LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 2440). Regulatory assets under management: $1.5B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Commissions.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| Sheila Maureen Baird | MEMBER; MEMBER AND CHIEF COMPLIANCE OFFICER | — |
| Scott Charles Kimelman | CHIEF EXECUTIVE OFFICER; MEMBER | — |
| Sapan "Nmn" Vyas | MEMBER, FINOP | — |
| Yasmeen Sollee Mock | CHIEF COMPLIANCE OFFICER; CO-CCO; MEMBER (+1 more) | — |
| KIMELMAN MICHAEL G | MEMBER; MEMBER AND CROP/SROP; MEMBER, CFO | — |
| BAIRD SHEILA MAUREEN | MEMBER; MEMBER AND CHIEF COMPLIANCE OFFICER; PRINCIPAL FINANCIAL OFFICER (+1 more) | — |
| KIMELMAN SCOTT CHARLES | MEMBER | — |
| VYAS SAPAN | MEMBER; MEMBER, CO-FINOP | — |
| MOCK YASMEEN SOLLEE | CO-CCO; MEMBER; PRINCIPAL OPERATING OFFICER | — |
| VYAS SAPAN NMN | MEMBER, FINOP | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2006-12-20 | regulatory | NASD RULES 1120(A) AND 2110; RESPONDENT MEMBER FIRM, ACTING THROUGH AN INDIVIDUAL, PERMITTED AN INDIVIDUAL TO ACT IN A CAPACITY THAT REQUIRED REGISTRATION WHILE HIS REGISTRATION STATUS WITH NASD WAS INACTIVE DUE TO HIS FAILURE TO COMPLETE THE REGULATORY ELEMENT OF NASD'S CONTINUING EDUCATION REQUIRE… | Final | $5K |
| 2005-06-13 | regulatory | FAILURE TO COMPLETE A TRAINING NEEDS ANALYSIS AND DEVELOP A WRITTEN TRAINING PLAN AS REQUIRED BY THE FIRM ELEMENT CONTINUING EDUCATION RULES. | Final | $7K |
| 1999-10-18 | regulatory | THE FIRM FAILED TO ESTABLISH & IMPLEMENT A CONTINUING EDUCATION PROGRAM FOR 1995-96-97 INCLUDING A NEEDS ANALYSIS AND TRAINING PROGRAM. THE FIRM FAILED TO ESTABLISH,MAINTAIN AND ENFORCE WRITTEN SUPERVISORY PROCEDURES RELATING TO CONTINUING EDUCATION PROGRAM-FIRM & REGULATORY ELEMENTS. | Final | $4K |