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Investment Adviser Firm Summary

ABNER HERRMAN & BROCK, LLC (CRD# 8517 / SEC# 8-25549, 801-17402)
Alternate Names: ABNER HERRMAN & BROCK, LLC , ABNER, HERRMAN & BROCK, INC.

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 07/09/1982

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 11/20/2015
California 07/08/1997
Connecticut 12/01/1999
Delaware 11/24/2008
Florida 04/22/1991
Georgia 12/19/2013
Idaho 06/28/2016
Illinois 11/18/2005
Maryland 07/07/2003
Massachusetts 03/11/2003
Michigan 03/04/2016
New Hampshire 10/19/2015
New Jersey 01/15/1986
New York 03/10/1993
North Carolina 07/30/2002
Ohio 04/10/2007
Pennsylvania 02/01/2001
Rhode Island 06/22/2015
Tennessee 11/12/2014
Texas 01/14/2005
Virginia 01/26/2001
Washington 09/26/2016
Wisconsin 08/27/2014

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser