Brian Herbst has been Chief Executive Officer and Chief Investment Officer of The Herbst Group since June 2020, is a control person of the firm and directly owns between 50% and 75% of it. Brian Herbst holds a BA in Political Science from George Washington University.
The Herbst Group, LLC is a firm with $205M under management, 190 clients and 4 advisers across 2 offices, as of its June 2026 filing.
Brian Herbst is CEO, Co-CIO and Managing Director of Equities of The Herbst Group, LLC. He worked for many years at Bloomberg before moving with Mayor Bloomberg to city hall, where he served as Deputy Chief of Staff. For 15 years he had been a Managing Director of The Herbst Group at Wellington Shields Capital Management before forming The Herbst Group, LLC as a wealth management firm.
- The Herbst Group, LLCCurrent– present · 6 yearsWestfort, CT · Adviser representative · Firm CRD 309319
Investment adviser representative registrations
Brian Herbst is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from July 2020; the most recent is Texas, in November 2024.
- ConnecticutSince 2 July 2020
- TexasResidentSince 7 November 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 11 December 2006 |
| Series 63 | Uniform Securities Agent State Law Examination | 20 June 2006 |
| Series 7 | General Securities Representative Examination | 1 May 2006 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Brian Gabbe Herbst
- CRD
- 5125974
- Firm
- The Herbst Group · CRD 309319
- Role
- Chief Executive Officer and Chief Investment Officer
- Office
- Westfort, CT
- Registration
- Investment adviser registration
- In the industry since
- May 2006
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- herbstgroup.com
Where does Brian Herbst work?
Brian Herbst has been Chief Executive Officer and Chief Investment Officer of The Herbst Group, LLC since June 2020, and is a control person of the firm.
Is Brian Herbst a financial advisor?
Yes. Brian Herbst has a current investment-adviser registration in Connecticut and Texas, through The Herbst Group since July 2020.
How many years of experience does Brian Herbst have?
Brian Herbst has 20 years in the financial industry, since May 2006, across 1 adviser firm.
What exams has Brian Herbst passed?
Brian Herbst has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in May 2006. FINRA credited Brian Herbst with the SIE, which began in October 2018.
Where is Brian Herbst based?
Brian Herbst’s registered office is in Westfort, CT.
Is Brian Herbst registered with FINRA?
No. Brian Herbst has no current broker registration.
How can I verify Brian Herbst’s record?
Search CRD 5125974 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Brian Herbst’s full registration record.