Steven H. Abernathy

ABERNATHY GROUP II

New York, NY 10036

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CRD#: 1276378

Professional summary

Steven Holt Abernathy is a registered financial advisor currently at ABERNATHY GROUP II LLC located in New York, New York.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Steven has worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Holt Abernathy's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 30, 2021 - Present

ABERNATHY GROUP II LLC

Office #1: 530 Fifth Avenue 17 Floor, New York, NY 10036

RIA

CRD#: 152401

New York, NY

Past

February 15, 2017 - February 7, 2023

DINOSAUR FINANCIAL GROUP, L.L.C

CRD#: 104446

New York, NY

Past

June 29, 2009 - December 11, 2009

ABERNATHY GROUP, L.L.C.

RIA

CRD#: 109164

NEW YORK, NY

Past

February 7, 2001 - April 12, 2002

RED-HORSE SECURITIES, LLC

CRD#: 104169

BRIDGEWATER, NJ

Past

August 9, 1996 - February 15, 2017

APB FINANCIAL GROUP, LLC

CRD#: 38235

New York, NY

Past

December 22, 1989 - August 26, 1996

FINANCIAL SQUARE PARTNERS

CRD#: 1541

NEW YORK, NY

Past

July 6, 1984 - January 19, 1990

LEHMAN BROTHERS INC.

CRD#: 7506

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".

ABERNATHY GROUP II LLC

401K PLAN ADMINISTRATORS | PHYSICAN FAMILY OFFICE | ABERNATHY GROUP II LLC

CRD#: 152401 / SEC#: 801-71255

RIA

Registered Investment Advisory firm - (4/13/2010 Approved)

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.

Highlighted states indicate IAR registrations

IAR

New York
(5/30/2021)

IAR

Texas
(2/10/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 6/28/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/16/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/6/1998

General Securities Principal Examination

Current Firm

ABERNATHY GROUP II LLC

401K PLAN ADMINISTRATORS | PHYSICAN FAMILY OFFICE | ABERNATHY GROUP II LLC

CRD#: 152401 / SEC#: 801-71255

RIA

Registered Investment Advisory firm - (4/13/2010 Approved)

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Contact information

Main Address

530 Fifth Avenue 17 Floor, New York, NY 10036

Mailing Address

Phone number

(212) 293-3499

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ABERNATHY II ADV PART 2B (1/16/2026)

Regulatory assets under management

Total Number of Accounts	94
AUM (Assets Under Management)	$ 80,196,208

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.

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Advisor Monitoring

Firm Stability Insights

Steven H. Abernathy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Holt Abernathy's CRS (Customer Relationship Summary).

Certified licenses

Experience

ABERNATHY GROUP II LLC

DINOSAUR FINANCIAL GROUP, L.L.C

ABERNATHY GROUP, L.L.C.

RED-HORSE SECURITIES, LLC

APB FINANCIAL GROUP, LLC

FINANCIAL SQUARE PARTNERS

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

ABERNATHY GROUP II LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/28/1984

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/16/1984

Series 24

Date: 7/6/1998

Current Firm

ABERNATHY GROUP II LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ABERNATHY GROUP II LLC

TRUST BUT VERIFY

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