SV
Sapan ". Vyas
KIMELMAN & BAIRD
New York, NY 10022
Some features on this profile are disabled
CRD#: 4576123
SV
Professional summary
Sapan "nmn" Vyas, who also goes by Sapan Vyas, is a registered financial advisor currently at KIMELMAN & BAIRD, LLC located in New York, New York.
Sapan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Sapan has worked at 1 firm and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 28 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sapan Vyas
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.
Bronx Children's Museum, Member Board of Trustees, organize events to fund raise to help open the museum through charitable contributions, 2 hours per quarter during non-securities trading hours, volunteer position, and as Chair/Member Investment Committee, 2 hours per quarter during non-securities trading hours, volunteer position.
CRS (Client Relationship Summary) - RIA
Click below to view Sapan "nmn" Vyas's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sapan "nmn" Vyas's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 7, 2021 - Present
KIMELMAN & BAIRD, LLC
Office #1: 800 Third Avenue, Suite 2300, New York, NY 10022RIA
BD
CRD#: 2440
New York, NY
Current
November 27, 2002 - Present
KIMELMAN & BAIRD, LLC
Office #1: 800 Third Avenue, Suite 2300, New York, NY 10022RIA
BD
CRD#: 2440
New York, NY
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)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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
New York(1/2/2003)
IAR
New York(6/7/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 10/8/2024
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 28
Date: 6/23/2021
Introducing Broker/Dealer Financial Operations Principal ExaminationSRO Registrations
RR
FINRA
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)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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)
FINRA licenses (21 States and Territories)
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 | 5 |
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.
