Melinda L. Lloyd

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CRD#: 1259655

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"?

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

CRD#: 2908

NEW YORK, NY

Past

June 20, 1984 - February 3, 1986

SCHRODER & CO. INC.

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 | M. KIMELMAN & CO.

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

RIA

Registered Investment Advisory firm - SEC (4/2/1973 Approved)

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.

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: 5/10/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/26/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/16/1984

General Securities Representative Examination

Current Firm

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)

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

SEC notice filing (9 States and Territories)

FINRA licenses (21 States and Territories)

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

Name	Position	CRD#
KIMELMAN, SCOTT CHARLES	CHIEF EXECUTIVE OFFICER	1624106
KIMELMAN, SCOTT CHARLES	MEMBER	1624106
BAIRD, SHEILA MAUREEN	MEMBER	10504
MOCK, YASMEEN SOLLEE	CHIEF COMPLIANCE OFFICER	4846801
MOCK, YASMEEN SOLLEE	MEMBER	4846801
MOCK, YASMEEN SOLLEE	PRINCIPAL OPERATING OFFICER	4846801
VYAS, SAPAN "NMN"	MEMBER, FINOP	4576123

Regulatory assets under management

Total Number of Accounts	517
AUM (Assets Under Management)	$ 1,430,751,000

Disclosures

Regulatory Event

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

Melinda L. Lloyd

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NEUBERGER BERMAN BD LLC

NEUBERGER BERMAN BD LLC

SCHRODER & CO. INC.

Primary Firm SEC Registration

KIMELMAN & BAIRD, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/10/1994

Series 63

Date: 6/26/1984

SIE

Date: 10/1/2018

Series 7

Date: 6/16/1984

Current Firm

KIMELMAN & BAIRD, LLC

Contact information

SEC notice filing (9 States and Territories)

FINRA licenses (21 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

KIMELMAN & BAIRD, LLC

TRUST BUT VERIFY

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