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ML

Melinda L. Lloyd

Some features on this profile are disabled
CRD#: 1259655
ML

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.

Melinda Lou Lloyd was a registered financial professional .

Melinda is a previously registered financial professional and started their career in finance in 1984. Melinda had worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 12, 2021 - January 17, 2024

KIMELMAN & BAIRD, LLC

RIA
CRD#: 2440
NEW YORK, NY
Past

July 25, 2002 - August 10, 2021

NEUBERGER BERMAN BD LLC

RIA
CRD#: 2908
NEW YORK, NY
Past

January 28, 1986 - August 10, 2021

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
NEW YORK, NY
Past

June 20, 1984 - February 3, 1986

SCHRODER & CO. INC.

BD
CRD#: 6112

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".
KIMELMAN & BAIRD, LLC
KIMELMAN & BAIRD, LLC
KIMELMAN & BAIRD, LLC | M. KIMELMAN & CO.

CRD#: 2440 / SEC#: 801-9182, 8-13028

RIA
Registered Investment Advisory firm - SEC (4/2/1973 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 5/10/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/26/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/16/1984
General Securities Representative Examination

Current Firm

KIMELMAN & BAIRD, LLC
KIMELMAN & BAIRD, LLC
KIMELMAN & BAIRD, LLC | M. KIMELMAN & CO.

CRD#: 2440 / SEC#: 801-9182, 8-13028

RIA
Registered Investment Advisory firm - SEC (4/2/1973 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
800 Third Avenue, Suite 2300 Suite 2300, New York, NY 10022
Mailing Address
800 Third Avenue, Suite 2300, New York, NY 10022
Phone number
(212) 686-0021
Established
New York since 04/27/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
7

SEC notice filing (9 States and Territories)

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

FINRA licenses (21 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A AS OF MAY 2025 (5/30/2025)

Direct owners and executive officers

NamePositionCRD#
KIMELMAN, SCOTT CHARLESCHIEF EXECUTIVE OFFICER1624106
KIMELMAN, SCOTT CHARLESMEMBER1624106
BAIRD, SHEILA MAUREENMEMBER10504
MOCK, YASMEEN SOLLEECHIEF COMPLIANCE OFFICER4846801
MOCK, YASMEEN SOLLEEMEMBER4846801
MOCK, YASMEEN SOLLEEPRINCIPAL OPERATING OFFICER4846801
VYAS, SAPAN "NMN"MEMBER, FINOP4576123

Regulatory assets under management

Total Number of Accounts517
AUM (Assets Under Management)$ 1,430,751,000

Disclosures

Regulatory Event5

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

KIMELMAN & BAIRD, LLC

KIMELMAN & BAIRD, LLC

CRD#: 2440

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