-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, BsdEuGCScnYZpMXCZiJSxCmFZdVvn6Tr2pnw4adN4YLoOCXOcM6+uRAipy7FZ5gS 3yFR5zYSscUoWFQ8dkkf5Q== 0001038661-08-000003.txt : 20080409 0001038661-08-000003.hdr.sgml : 20080409 20080409101524 ACCESSION NUMBER: 0001038661-08-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080331 FILED AS OF DATE: 20080409 DATE AS OF CHANGE: 20080409 EFFECTIVENESS DATE: 20080409 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ABNER HERRMAN & BROCK LLC CENTRAL INDEX KEY: 0001038661 IRS NUMBER: 205472473 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06312 FILM NUMBER: 08746777 BUSINESS ADDRESS: STREET 1: HARBORSIDE FINANCIAL CENTER STREET 2: PLAZA 5 - SUITE 1640 CITY: JERSEY CITY STATE: NJ ZIP: 07311 BUSINESS PHONE: 2014842000 MAIL ADDRESS: STREET 1: HARBORSIDE FINANCIAL CENTER STREET 2: PLAZA 5 - SUITE 1640 CITY: JERSEY CITY STATE: NJ ZIP: 07311 FORMER COMPANY: FORMER CONFORMED NAME: ABNER HERRMAN & BROCK INC DATE OF NAME CHANGE: 19990317 13F-HR 1 ahbi13f.txt 13F FILING UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2008 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Abner, Herrman & BrocK LLC Address: Harborside Financial Center, Plaza 5, Suite 1640 Jersey City, NJ 07311 13F File Number: 28-6312 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Signing of Person Duly Authorized to Submit this Report: Name: Howard J. Abner Title: Chairman Phone: 201-484-2000 Signature, Place, and Date of Signing: Howard J. Abner Jersey City, NJ March 31, 2008 Report Type (Check only one.); [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: None Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 81 Form 13F Information Table Value Total: 179353 List of Other Included Managers: No. 13F File Number Name FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3M COMPANY COM 88579y101 370 4672 SH SOLE 4672 ABB LTD SPONSORED ADR COM 000375204 4947 183755 SH SOLE 183755 ABBOTT LABORATORIES COM 002824100 4264 77310 SH SOLE 77310 AIR PRODUCTS & CHEMICALS INC COM 009158106 4620 50215 SH SOLE 50215 AMERICAN EXPRESS COMPANY COM 025816109 4935 112869 SH SOLE 112869 AMERICAN INTERNATIONAL GROUP I COM 026874107 257 5949 SH SOLE 5949 AMERIPRISE FINL INC COM 03076c106 714 13771 SH SOLE 13771 ANADARKO PETE CORP COM 032511107 246 3910 SH SOLE 3910 ANESIVA INC COM 03460l100 86 27200 SH SOLE 27200 ANHEUSER BUSCH COMPANIES INC COM 035229103 4801 101177 SH SOLE 101177 APPLE INC COM 037833100 3676 25618 SH SOLE 25618 AT&T INC COM 00206r102 6368 166273 SH SOLE 166273 AUTOMATIC DATA PROCESSING INC COM 053015103 576 13590 SH SOLE 13590 AXSYS TECHNOLOGIES INC COM 054615109 1244 24934 SH SOLE 24934 BAKER HUGHES INC COM 057224107 1991 29070 SH SOLE 29070 BANK NEW YORK MELLON CORP COM 064058100 1729 41432 SH SOLE 41432 BANK OF AMERICA CORP COM 060505104 2659 70149 SH SOLE 70149 BIOMIMETIC THERAPEUTICS INC COM 09064x101 160 20000 SH SOLE 20000 BLOUNT INTL INC-NEW COM 095180105 804 65000 SH SOLE 65000 BOARDWALK PIPELINE PARTNERS LP COM 096627104 1410 57275 SH SOLE 57275 BOEING CO COM 097023105 1579 21225 SH SOLE 21225 CAROLCO PICTURES INC COM 143763100 0 10000 SH SOLE 10000 CHEVRON CORPORATION COM 166764100 3083 36114 SH SOLE 36114 CISCO SYSTEMS INC COM COM 17275r102 4688 194605 SH SOLE 194605 CITIGROUP INC COM 172967101 457 21341 SH SOLE 21341 CONOCOPHILLIPS COM 20825c104 3733 48981 SH SOLE 48981 CONSOLIDATED EDISON INC COM 209115104 3035 76442 SH SOLE 76442 CTI GROUP HOLDINGS INC COM 126431105 2 10000 SH SOLE 10000 DTE ENERGY CO COM 233331107 3758 96640 SH SOLE 96640 EMERSON ELECTRIC CO COM 291011104 4826 93785 SH SOLE 93785 ENER1 INC COM 29267a104 11 13500 SH SOLE 13500 EXCEL TECHNOLOGY INC COM 30067t103 1429 53000 SH SOLE 53000 EXELON CORP COM 30161n101 7257 89292 SH SOLE 89292 EXXON MOBIL CORP COM 30231g102 1298 15349 SH SOLE 15349 FPL GROUP INC COM 302571104 6392 101887 SH SOLE 101887 GAP INC COM 364760108 1021 51900 SH SOLE 51900 GENERAL ELECTRIC CO COM 369604103 3981 107567 SH SOLE 107567 GILEAD SCIENCES INC COM 375558103 567 11000 SH SOLE 11000 GRANT PRIDECO INC COM 38821g101 2013 40900 SH SOLE 40900 GULFMARK OFFSHORE COM 402629109 680 12425 SH SOLE 12425 H J HEINZ CO COM 423074103 3113 66285 SH SOLE 66285 HEWLETT PACKARD CO DEL COM 428236103 5196 113801 SH SOLE 113801 HONEYWELL INTL INC COM 438516106 2524 44736 SH SOLE 44736 INTERNATIONAL BUSINESS MACHINE COM 459200101 2034 17669 SH SOLE 17669 ISHARES INC MSCI GERMANY INDEX COM 464286806 444 14105 SH SOLE 14105 JP MORGAN CHASE CO COM 46625h100 6399 148978 SH SOLE 148978 KELLOGG CO COM 487836108 3649 69420 SH SOLE 69420 LEHMAN BROTHERS HOLDINGS INC COM 524908100 380 10089 SH SOLE 10089 LOCKHEED MARTIN CORP COM 539830109 1908 19217 SH SOLE 19217 MACYS INC COM 55616p104 2219 96215 SH SOLE 96215 MARATHON OIL CORP COM 565849106 1246 27320 SH SOLE 27320 MERCK&CO INC COM 589331107 3692 97290 SH SOLE 97290 MERRILL LYNCH & CO INC COM 590188108 783 19215 SH SOLE 19215 MICROSOFT CORP COM 594918104 1876 66088 SH SOLE 66088 MORGAN STANLEY COM 617446448 1727 37789 SH SOLE 37789 NIKE INC-CL B COM 654106103 1566 23030 SH SOLE 23030 NORTHPOINT COMMUNICATIONS GROU COM 666610100 0 58000 SH SOLE 58000 NYVATEX OIL CORP COM 670794106 0 20000 SH SOLE 20000 OILSANDS QUEST INC COM 678046103 39 10000 SH SOLE 10000 PEPSICO INC COM 713448108 4187 57997 SH SOLE 57997 PFIZER INC COM 717081103 211 10087 SH SOLE 10087 PROCTER & GAMBLE CO COM 742718109 4054 57853 SH SOLE 57853 SCHLUMBERGER LTD COM 806857108 3501 40238 SH SOLE 40238 SIEMENS A G SPONSORED ADR COM 826197501 2164 19860 SH SOLE 19860 TARGET CORP COM 87612e106 3833 75628 SH SOLE 75628 THERMO FISHER SCIENTIFIC INC COM 883556102 5418 95315 SH SOLE 95315 THORN APPLE VALLEY INC COM 885184101 0 16138 SH SOLE 16138 TJX COMPANIES INC NEW COM 872540109 784 23700 SH SOLE 23700 TORONTO DOMINION BANK COM 891160509 428 6982 SH SOLE 6982 UNIFI INC COM 904677101 496 171500 SH SOLE 171500 UNITED TECHNOLOGIES CORP COM 913017109 3264 47423 SH SOLE 47423 US BANCORP DEL COM NEW COM 902973304 769 23756 SH SOLE 23756 VERIZON COMMUNICATIONS COM 92343v104 5780 158560 SH SOLE 158560 VIACOM INC NEW CL B COM 92553p201 297 7500 SH SOLE 7500 WAL-MART STORES INC COM 931142103 5119 97165 SH SOLE 97165 WEATHERFORD INTL LTD BERMUD COM g95089101 1268 17500 SH SOLE 17500 WELLS FARGO & CO COM 949746101 2543 87383 SH SOLE 87383 WORLDGATE COMMUNICATIONS INC COM 98156l307 1 16000 SH SOLE 16000 BANK ONE CAPITAL TR VI 7.2% DU PFD 06423w204 230 9300 SH SOLE 9300 LEHMAN BROTHERS HOLDINGS INC 6 PFD 524908720 213 11600 SH SOLE 11600 GATEWAY FUND CL A MUT 367829207 332 12008.191SH SOLE 12008.191
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