Legal Disclaimers
Securities and advisory services offered through Kimelman & Baird, LLC, Member FINRA/SIPC and a SEC registered investment adviser. Kimelman and Baird may only transact business in those states in which it is registered, or qualifies for an exemption or exclusion from registration requirements. Further written disclosure information contained in SEC Form ADV Part II, including registration status, fees, and services, is available upon written request.
Investing involves risk, including possible loss of principal. Past performance does not guarantee future results.
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The U.S. Securities and Exchange Commission’s Rule 606 requires all broker/dealers that route orders in equity and option securities to publish quarterly reports that provide a general overview of their routing practices. This report must identify the venues to which non-directed customer orders in U.S. exchange-listed equity securities and options were routed for execution, and disclose the material aspects of the broker/dealer’s relationship with such venues. The purpose of this report is to provide the public with information on how broker-dealers route orders, enable the evaluation of order routing practices and foster competition among market participants. Upon request, broker-dealers also must disclose to customers the venues to which their individual orders were routed. Each customer may request a written copy of the report be mailed to them at no charge.
Kimelman & Baird, LLC enters all equity orders through the order entry system of our clearing broker, National Financial Services LLC (NFS); and, with the exception of our clearing broker/introducing broker relationship with NFS, we have no material relationships with any of the referenced venues. We do not receive any compensation or payment for order flow.
To view our quarterly order execution details, please click here: Kimelman & Baird, LLC SEC Order Routing
United Capital Financial Advisors, LLC (“United Capital”) is an investment adviser registered with the SEC. United Capital is not affiliated with Kimelman & Baird, LLC. All names, logos, and slogans identifying United Capital and United Capital’s products and services (including, without limitation, HonestConversations®, MoneyMind®, FinLife®, Financial Control Scorecard®, Live RichlySM, We Help You Live RichlySM, Helping People Live Richly®, One Best Financial Life®, Ideal Life Index®, GuideCenter®, InvestmentViewfinderSM, United Capital Financial Life Management®, and Financial Years of FreedomSM) are trademarks and service marks or registered trademarks and service marks of United Capital or its affiliates in the United States and/or other countries.© 2024 United Capital Financial Advisors, LLC. All Rights Reserved.
This communication is intended for information purposes only, and does not constitute investment advice, a recommendation or an offer or solicitation to purchase or sell any securities, funds or strategies to any person in any jurisdiction in which an offer, solicitation, purchase or sale would be unlawful under the securities laws of such jurisdiction.
