Anthony E. Birch

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CRD#: 4241576

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.

Anthony Edward Birch, who also goes by Anthony E Birch, was a registered financial professional .

Anthony is a previously registered financial professional and started their career in finance in 2001. Anthony had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Anthony E Birch

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 17, 2015 - April 11, 2017

ABNER HERRMAN & BROCK, LLC

RIA

CRD#: 8517

JERSEY CITY, NJ

Past

September 17, 2015 - April 11, 2017

ABNER HERRMAN & BROCK, LLC

CRD#: 8517

JERSEY CITY, NJ

Past

April 21, 2015 - September 14, 2015

ROOSEVELT INVESTMENTS

RIA

CRD#: 107853

NEW YORK, NY

Past

November 7, 2008 - September 14, 2015

UNIFIED FINANCIAL SECURITIES, LLC

CRD#: 7868

INDIANAPOLIS, IN

Past

March 31, 2004 - December 6, 2006

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

NEW YORK, NY

Past

October 24, 2003 - December 6, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

NEW YORK, NY

Past

January 3, 2003 - October 27, 2003

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

March 12, 2001 - January 3, 2003

CIBC WORLD MARKETS CORP.

CRD#: 630

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".

ABNER HERRMAN & BROCK, LLC

ABNER HERRMAN & BROCK, LLC | ABNER, HERRMAN & BROCK, INC.

CRD#: 8517 / SEC#: 801-17402, 8-25549

RIA

Registered Investment Advisory firm - SEC (7/9/1982 Approved)

Terminated by SEC on 02/11/2024

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

IAR

Series 66

Date: 5/19/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 4/11/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/10/2001

General Securities Representative Examination

Current Firm

ABNER HERRMAN & BROCK, LLC

ABNER HERRMAN & BROCK, LLC | ABNER, HERRMAN & BROCK, INC.

CRD#: 8517 / SEC#: 801-17402, 8-25549

RIA

Registered Investment Advisory firm - SEC (7/9/1982 Approved)

Terminated by SEC on 02/11/2024

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Contact information

Main Address

Harborside 5 185 Hudson Street Suite 1640, Jersey City, NJ 07311

Mailing Address

Phone number

(201) 484-2000

Established

Delaware since 08/28/2006

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (30 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A (3/7/2025)

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

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

Anthony E. Birch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ABNER HERRMAN & BROCK, LLC

ROOSEVELT INVESTMENTS

UNIFIED FINANCIAL SECURITIES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

OPPENHEIMER & CO. INC.

CIBC WORLD MARKETS CORP.

Primary Firm SEC Registration

ABNER HERRMAN & BROCK, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/19/2001

SIE

Date: 4/11/2017

Series 7

Date: 3/10/2001

Current Firm

ABNER HERRMAN & BROCK, LLC

Contact information

SEC notice filing (30 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

ABNER HERRMAN & BROCK, LLC

TRUST BUT VERIFY

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