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Brian Gabbe Herbst

The Herbst Group, LLC

Westfort, CT

Westport, CT

CRD 5125974

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Employer firm

The Herbst Group, LLC CRD 309319

$205M regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting

From the firm’s Form ADV. Read the guides:

Current Employers
The Herbst Group, Llc

Westport, CT • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-11-07
CT RA APPROVED 2020-07-02
  • TX RA
    APPROVED_RES
    Since 2024-11-07
  • CT RA
    APPROVED
    Since 2020-07-02

Branch Locations

Westfort, CT • United States

Westport, CT • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wellington Shields & Co., Llc New York NY 11/2009 06/2020
The Herbst Group Westfort CT 06/2020 Present
  • 11/2009 → 06/2020
    Wellington Shields & Co., Llc
    New York, NY
  • 06/2020 → Present
    The Herbst Group
    Westfort, CT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-12-11
S63 Uniform Securities Agent State Law Examination 2006-06-20
  • S65 Uniform Investment Adviser Law Examination
    2006-12-11
  • S63 Uniform Securities Agent State Law Examination
    2006-06-20

View on SEC IAPD

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