Howard J. Abner
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Howard Jerome Abner, who also goes by Howard J Abner, was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1969. Howard had worked at 4 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE, Series 1, Series 27, Series 24, Series 53, Series 14, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 1993 - January 1, 2025
ABNER HERRMAN & BROCK, LLC
October 25, 1988 - August 15, 1989
BURNHAM SECURITIES INC.
January 6, 1981 - February 12, 2024
ABNER HERRMAN & BROCK, LLC
June 14, 1976 - February 9, 1981
KUHNS BROTHERS & LAIDLAW, INC.
March 18, 1969 - June 7, 1976
JAS. H. OLIPHANT & CO., INC.
Primary Firm SEC Registration
ABNER HERRMAN & BROCK, LLC
CRD#: 8517 / SEC#: 801-17402, 8-25549
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 1
Date: 6/25/1963
Registered Representative ExaminationSeries 00
Date: 3/10/1969
General Securities Principal ExaminationCurrent Firm
ABNER HERRMAN & BROCK, LLC
CRD#: 8517 / SEC#: 801-17402, 8-25549
Contact information
SEC notice filing (30 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ABNER, HERRMAN & BROCK, INC. | MEMBER | |
| ABNER, HOWARD JEROME | CHIEF COMPLIANCE OFFICER | 353 |
Regulatory assets under management
| Total Number of Accounts | 2,177 |
| AUM (Assets Under Management) | $ 2,430,649,447 |
Disclosures
| Regulatory Event | 3 |
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.
