AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
MF

Matthew J. Flood

ABNER HERRMAN & BROCK
JERSEY CITY, NJ 07311
Some features on this profile are disabled
CRD#: 5405213
MF

Professional summary

Matthew James Flood is a registered financial advisor currently at ABNER HERRMAN & BROCK, LLC located in Jersey City, New Jersey.

Matthew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Matthew has worked at 3 firms and has passed the Series 66, SIE, Series 31 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 Matthew James Flood'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

January 9, 2024 - Present

ABNER HERRMAN & BROCK, LLC

Office #1: 185 Hudson Street Suite 1640, Jersey City, NJ 07311
RIA
CRD#: 8517
JERSEY CITY, NJ
Past

October 25, 2011 - December 18, 2023

ABNER HERRMAN & BROCK, LLC

RIA
CRD#: 8517
JERSEY CITY, NJ
Past

October 18, 2011 - December 18, 2023

ABNER HERRMAN & BROCK, LLC

BD
CRD#: 8517
JERSEY CITY, NJ
Past

October 19, 2009 - September 23, 2011

MORGAN STANLEY

RIA
CRD#: 149777
NEW YORK, NY
Past

June 2, 2009 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
PURCHASE, NY
Past

June 1, 2009 - September 23, 2011

MORGAN STANLEY

BD
CRD#: 149777
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, LLC | ABNER, HERRMAN & BROCK, INC.

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

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

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 Jersey
(1/9/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/17/2009
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 11/13/2009
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 6/1/2009
General Securities Representative Examination

Current Firm

ABNER HERRMAN & BROCK, LLC
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)
BD
Terminated by SEC on 02/11/2024
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
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
13

SEC notice filing (33 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV 2A (3/6/2026)

Direct owners and executive officers

NamePositionCRD#
ABNER, HERRMAN & BROCK, INC.MEMBER
ABNER, HOWARD JEROMECHIEF COMPLIANCE OFFICER353

Regulatory assets under management

Total Number of Accounts2,403
AUM (Assets Under Management)$ 2,736,053,212

Disclosures

Regulatory Event3

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.

Company Information

ABNER HERRMAN & BROCK, LLC

ABNER HERRMAN & BROCK, LLC

CRD#: 8517Jersey City, NJ 07311

TRUST BUT VERIFY

Monitor Matthew Flood

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
PR
MINNEAPOLIS, MN
Elizabeth Katz Miller
Elizabeth MillerAdvisorCheck Check Mark
SUMMIT PLACE FINANCIAL ADVISORS, LLC
IAR
Summit, NJ
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.