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ABNER HERRMAN & BROCK, LLC
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ABNER HERRMAN & BROCK, LLC
(CRD# 8517)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Jersey City, NJ.
The SEC approved the firm to operate as an RIA in
Jul 1982.
In
Mar 2018,
the firm reported total Regulatory Assets Under Management (RAUM) of
$2.0 Billion,
and has discretion over
98%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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ABNER HERRMAN & BROCK, LLC
also reported in
Mar 2018:
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12
employees,
with
6
performing advisory functions.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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ABNER HERRMAN & BROCK, LLC has no disclosure events reported to the SEC at this time.
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ABNER HERRMAN & BROCK, LLC has Notice Filings with the following State Securities Authorities:
AL-Nov 2015, CA-Jul 1997, CT-Dec 1999, DE-Nov 2008, FL-Apr 1991
, GA-Dec 2013, ID-Jun 2016, IL-Nov 2005, MA-Mar 2003, MD-Jul 2003
, MI-Mar 2016, NC-Jul 2002, NH-Oct 2015, NJ-Jan 1986, NY-Mar 1993
, OH-Apr 2007, PA-Feb 2001, RI-Jun 2015, TN-Nov 2014, TX-Jan 2005
, VA-Jan 2001, WA-Sep 2016, WI-Aug 2014
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Disclaimer:
The information presented above was gleaned from the SEC
website and is believed to be accurate.
FindingFraud.org is presenting this data for
informational purposes only and assumes no
responsibility for errors or omissions. Please
note that we are aware of many instances where RIAs
provided erroneous data to the SEC. Feel Free to
contact FindingFraud.org with questions or concerns.
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