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Alexander J. Digregorio

Some features on this profile are disabled
CRD#: 6696825
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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.

Alexander Joseph Digregorio, who also goes by Alex Digregorio, Alexander Digregorio, was a registered financial professional .

Alexander is a previously registered financial professional and started their career in finance in 2017. Alexander had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alex Digregorio | Alexander Digregorio

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

July 10, 2019 - December 18, 2023

ABNER HERRMAN & BROCK, LLC

RIA
CRD#: 8517
JERSEY CITY, NJ
Past

April 9, 2019 - December 18, 2023

ABNER HERRMAN & BROCK, LLC

BD
CRD#: 8517
JERSEY CITY, NJ
Past

November 7, 2018 - December 11, 2018

QPLUM LLC

RIA
CRD#: 175479
JERSEY CITY, NJ
Past

September 19, 2018 - October 26, 2018

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
Parsippany, NJ
Past

December 22, 2017 - September 21, 2018

SUMMIT EQUITIES, INC.

BD
CRD#: 11039
PARSIPPANY, NJ

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 6/10/2019
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/26/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/22/2017
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
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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
13

SEC notice filing (30 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 (3/7/2025)

Direct owners and executive officers

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

Regulatory assets under management

Total Number of Accounts2,177
AUM (Assets Under Management)$ 2,430,649,447

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#: 8517

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