# ABNER HERRMAN & BROCK, LLC

ABNER HERRMAN & BROCK, LLC of JERSEY CITY, NJ is an SEC-registered investment adviser.

## Registration

- CRD: 8517
- Type: SEC-registered investment adviser
- SEC file number: 801-17402
- Location: 185 HUDSON STREET, SUITE 1640, JERSEY CITY, NJ, 07311
- Phone: 201-484-2000
- Latest filing: 2026-06-09
- Regulatory AUM: $2.7B
- Discretionary AUM: $2.7B
- Non-discretionary AUM: $61.7M
- Clients: 13
- Accounts: 2,403

## Business model

- Compensation: % of AUM
- Clients served: High net worth, Pooled vehicles

## Officers, owners & control persons (5)

| Name | Role | Location |
| --- | --- | --- |
| Howard Jerome Abner | CHIEF COMPLIANCE OFFICER; SHAREHOLDER; TRUSTEE, ABNER TRUST | — |
| Caryn Jill Zweig | CHIEF EXECUTIVE OFFICER; MEMBER | — |
| ABNER HOWARD JEROME | CHAIRMAN; CHAIRMAN/CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER (+2 more) | — |
| ZWEIG CARYN JILL | CHIEF EXECUTIVE OFFICER; CHIEF OPERATING OFFICER; COMPLIANCE OFFICER (+3 more) | — |
| STRAUSS KEVIN ERIC | PRESIDENT | — |


## Disclosures (3)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2007-06-19 | regulatory | RULES 6220 AND 6230 AND NASD CONDUCT RULE 2110. FROM JANUARY 1, 2006 THROUGH NOVEMBER 6, 2006, AHB EFFECTED 560 TRACE-ELIGIBLE SECURITIES TRANSACTIONS. AHB, HOWEVER, DID NOT HAVE A TRACE PARTICIPANT APPLICATION IN PLACE, NOR DID IT REPORT ANY OF THE TRACE-ELIGIBLE SECURITIES TRANSACTIONS REFERENCED… | Final | $10K |
| 1987-12-23 | regulatory | ARTICLE III, SECTION 1 OF THE RULES OF FAIR PRACTICE-RESPONDENT MEMBER, ACTING THROUGH RESPONDENT HERRMAN, FAILED TO MAKE A BONA FIDE PUBLIC DISTRIBUTION OF A PUBLIC OFFERING WHICH TRADED AT A PREMIUM IN THE SECONDARY MARKET IN THAT SHARES WERE SOLD TO RESTRICTED ACCOUNTS.) $5,000 PAID IN FULL J& S… | Final | $5K |
| 1985-09-20 | regulatory | 12/5/1985;MARKET SURVEILLANCE COMMITTEE COMPLAINT#MS-178 SC-SUMMARY COMPLAINT FILED ON 9/20/1985.ALLEGING VIOLATIONS OF PART I,SECTIONC.3.(A) OF SCHEDULE D OF THE ASSOCIATION'S BY-LAWS IN THAT RESPONDENT ENTERED QUOTATIONS INTO THE NASDAQ SYSTEM ON 6/7,10 AND 11/1985,THAT WERE NOT REASONABLY RELATED… | Final | $500 |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/8517/brochure
- Similar advisers: https://search.stillhousedata.com/firm/8517/similar
- Related entities: https://search.stillhousedata.com/firm/8517/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/8517

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Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.