Brian G. Herbst

THE HERBST GROUP

WESTFORT, CT

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CRD#: 5125974

Professional summary

Brian Gabbe Herbst is a registered financial advisor currently at THE HERBST GROUP, LLC located in Westfort, Connecticut.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Brian has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 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 Brian Gabbe Herbst'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

July 2, 2020 - Present

THE HERBST GROUP, LLC

RIA

CRD#: 309319

WESTFORT, CT

Past

November 18, 2009 - July 29, 2020

WELLINGTON SHIELDS & CO., LLC

CRD#: 149021

NEW YORK, NY

Past

May 2, 2006 - December 11, 2009

SHIELDS & COMPANY

CRD#: 11053

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".

THE HERBST GROUP, LLC

ANEW WEALTH MANAGEMENT | THE HERBST GROUP, LLC

CRD#: 309319 / SEC#: 801-118872

RIA

Registered Investment Advisory firm - (6/5/2020 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

Connecticut
(7/2/2020)

IAR

Texas
(11/7/2024)

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 65

Date: 12/11/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/20/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/1/2006

General Securities Representative Examination

Current Firm

THE HERBST GROUP, LLC

ANEW WEALTH MANAGEMENT | THE HERBST GROUP, LLC

CRD#: 309319 / SEC#: 801-118872

RIA

Registered Investment Advisory firm - (6/5/2020 Approved)

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Contact information

Main Address

Westport, CT

Mailing Address

Phone number

(212) 488-1701

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

THE HERBST GROUP DISCLOSURE BROCHURE, WRAP FEE PROGRAM BROCHURE, BROCHURE SUPPLEMENTS, AND PRIVACY POLICY (11/11/2025)

Regulatory assets under management

Total Number of Accounts	297
AUM (Assets Under Management)	$ 206,957,094

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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Brian G. Herbst

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Gabbe Herbst's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLINGTON SHIELDS & CO., LLC

SHIELDS & COMPANY

Primary Firm SEC Registration

THE HERBST GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/11/2006

Series 63

Date: 6/20/2006

SIE

Date: 10/1/2018

Series 7

Date: 5/1/2006

Current Firm

THE HERBST GROUP, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE HERBST GROUP, LLC

TRUST BUT VERIFY

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