JEMMA INVESTMENT ADVISORS LLC of BALTIMORE, MD is an SEC-registered investment adviser (CRD 284198). Regulatory assets under management: $139.8M.
Compensation: % of AUM.
Clients served: Individuals, High net worth, Pooled vehicles, Other.
| Name | Role | Location |
|---|---|---|
| Stephen Edward Baird | CHIEF COMPLIANCE OFFICER | — |
| Brian Carl Nelson | MANAGING MEMBER/PRESIDENT | — |
| Megan Turner Vichich | SENIOR VICE PRESIDENT | — |
| Darcy Nicole Limanni | CHIEF COMPLIANCE OFFICER | — |
| Katharine Wilson Dudley | SENIOR VICE PRESIDENT | — |
| STEIN BONNIE BRESSLER | CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER; MEMBER | — |
| NELSON KENNETH CARL | GENERAL COUNSEL; MANAGING MEMBER/PRESIDENT; MEMBER | — |
| CHANEY GREGORY MARK | MEMBER | — |
| NELSON SHARI LINN | MANAGING MEMBER | — |
| Baird Stephen Edward | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-01-01 | regulatory | THE COMMONWEALTH OF PENNSYLVANIA, ACTING THROUGH THE DEPARTMENT OF BANKING AND SECURITIES, BUREAU OF SECURITIES COMPLIANCE AND EXAMINATIONS, CONDUCTED AN INVESTIGATION OF THE BUSINESS PRACTICES OFJEMMA INVESTMENT ADVISORS, LLC AND ITS OFFICERS AND EMPLOYEES. BASED ON THE RESULTS OF ITS INVESTIGATION… | Final | $5K |