CRD #8517 · FINRA BrokerCheck + SEC IAPD

Abner Herrman & Brock, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Abner Herrman & Brock, LLC ranks #1,958 of 20,055 by disclosure count (most disclosures first). Abner Herrman & Brock, LLC carries 3 BrokerCheck disclosures across 1 branch office - heavy load for a single-office firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
1
branch office
3
disclosures
#1,958 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 8517 Abner Herrman & Brock, LLC

Abner Herrman & Brock, LLC · Grade C · 3 disc · 3.00/office · Single-office firm

  • CRD 8517
  • GRADE C
  • DISC 3
  • REG 3
  • ARB 0
  • CIV 0
  • BRANCH 1
  • PER-OFF 3.00
  • RANK #1,958 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: A. B. Culbertson and Company (3.00 disc/office)

A. B. Culbertson and Co…3.00A. Gary Shilling & Co.,…3.00AC Financial, Inc.3.00Abner Herrman & Bro… (this)3.00
Disclosures per office among single-office firm peers (lower is cleaner)

Abner Herrman & Brock, LLC ranks #1,958 of 20,055 by disclosure count among graded broker-dealers; heavy load at 3.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

1 office

FINRA: Small firm

Total disclosures

3 events

On FINRA BrokerCheck

Regulatory events

3 actions

100% of all disclosures

Disclosures per office

3.00 per office

3 ÷ 1 offices

Abner Herrman & Brock, LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

3 a cleaner per-office record than 4% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). Below this entry. 1–2: 32 disclosing firms (3%). Below this entry. 2–2: 65 disclosing firms (5%). Below this entry. 2–2: 9 disclosing firms (1%). Below this entry. 2–2: 72 disclosing firms (6%). Below this entry. 2–3: 14 disclosing firms (1%). Below this entry. 3–3: 24 disclosing firms (2%). Below this entry. 3–3: 6 disclosing firms (0%). Below this entry. 3–3: 32 disclosing firms (3%). This entry sits in this band. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 3
Arbitrations 0
Civil Events 0
Total 3

Counts for Abner Herrman & Brock, LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 3 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
INACTIVE
CRD Number
8517

Regulator-heavy mix

Abner Herrman & Brock, LLC in the heavier-disclosure third

Abner Herrman & Brock, LLC carries 3 BrokerCheck disclosures across 1 branch office - a heavier-third raw book among graded firms (#1,958 of 20,055). Regulator-initiated events are 100% of the book (3 regulatory / 0 arbitration / 0 civil).

100% of Abner Herrman & Brock, LLC's 3 disclosures are regulator-initiated (3 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Abner Herrman & Brock, LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Abner Herrman & Brock, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Abner Herrman & Brock, LLC ranks #1,958 of 20,055 by disclosure count (most disclosures first). Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of C mean for Abner Herrman & Brock, LLC?
A grade of C reflects Abner Herrman & Brock, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 3 total disclosures across 1 branch office. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Abner Herrman & Brock, LLC have?
Abner Herrman & Brock, LLC has 3 total FINRA disclosures, including 3 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Abner Herrman & Brock, LLC?
Abner Herrman & Brock, LLC operates 1 branch office and is classified by FINRA as a small firm (Single-office firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Abner Herrman & Brock, LLC's disciplinary record?
You can verify Abner Herrman & Brock, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 8517. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on BrokerCheck. For Abner Herrman & Brock, LLC, the 3.00 per-office intensity is the size-normalized signal behind Grade C.
Should I avoid Abner Herrman & Brock, LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Abner Herrman & Brock, LLC carries 3 disclosures across 1 branch office (about 3.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.