Privacy Policy

Abner, Herrman & Brock Asset Management is built on trust. When you become a client of ours, you not only entrust us with your assets but also with certain personal and financial data. We believe that this information is, and should remain, private and confidential. Our Privacy Policy is designed to help you understand how we strive to protect your nonpublic, personal information while providing you with the best possible service.

Below we describe why we gather customer information, what information we collect, how we collect it, what we use the information for and how you can instruct us if you prefer to limit the use or disclosure of that information.

Why Do We Gather Information?

We gather personal information about you to allow us to provide an enhanced and personalized investment experience, to provide you with information about us, as well as to comply with securities and other laws.

What Types Of Personal Information Do We Gather?

We collect nonpublic personal information about you from the following sources: (i) the account application and other forms that you complete with Abner, Herrman & Brock for any of our services; (ii) any information you give us in any other way or enter on our website, including information about your transactions and experiences with us; (iii) information (if any) we receive or collect from other sources, such as a consumer reporting agency.

How We Protect Information?

We restrict access to nonpublic personal information about you to those employees with a legitimate business need for the information. Our employees are required to protect the confidentiality of information and to comply with our established policies. They may access information only when there is an appropriate reason to do so, such as to administer our services. We also maintain physical, electronic and procedural safeguards to protect information which comply with all applicable laws.

How We Use Or Disclose Information We Collect About You?

Abner, Herrman & Brock does not disclose any nonpublic personal information about you or any of our former customers to anyone, except as permitted by law. Of course, if you ask us to provide your information to a trusted third party such as your accountant or attorney, we are glad to oblige. We limit the collection and use of your information to the minimum we require to deliver our services to you. Under no circumstances will we sell information about you or your Abner, Herrman & Brock account to any unaffiliated company, group, or individual.

Former Customers

Even if you are no longer a customer of Abner, Herrman & Brock our Privacy Policy will continue to apply to you.

Your Consent And Changes To This Policy

Subject to the above provisions, you acknowledge that this privacy policy is part of our Legal Terms Agreement and you agree to be bound by all of its terms and conditions. If we decide to change our privacy policy, we will inform our client's in writing and will also post those changes to our website www.ahbi.com

Further Information

We reserve the right to change this Privacy Policy. This notice complies with a recently enacted Federal law and new SEC regulations regarding privacy. You may have additional rights under other foreign or domestic laws that may apply to you.

Important Information about SIPC

As a member of Securities Protection Corporation (SIPC), Abner Herrman & Brock LLC is required to inform all new customers that they may contact SIPC to obtain their brochure and other information. The SIPC's Web address is www.sipc.org and the telephone number is (202) 371-8300. reserve the right to change this Privacy Policy.

Should you have any questions regarding our Privacy Policy, please contact Jennifer Brundage, Chief Administrative Officer.