YM
Yasmeen S. Mock
KIMELMAN & BAIRD
New York, NY 10022
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CRD#: 4846801
YM
Professional summary
Yasmeen Sollee Mock is a registered financial advisor currently at KIMELMAN & BAIRD, LLC located in New York, New York.
Yasmeen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Yasmeen has worked at 1 firm and has passed the Series 66, Series 99TO, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Lifeway Network, Finance Committee Member, provide financial oversight by reviewing budget & financial statement, and providing findings to the board, 2 hrs per month during non-securities trading hours, non-investment related.
CRS (Client Relationship Summary) - RIA
Click below to view Yasmeen Sollee Mock's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Yasmeen Sollee Mock'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
October 19, 2004 - 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(12/7/2004)
IAR
New York(6/7/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 10/1/2024
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO 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)
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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)
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.
