-----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, I5btfNS0s3z7NGhVIxcNkXXXaBgH15XoCLZLoSvTfeLcN4SPFgvKzySfrryoKhe0 2jlYz9zIt0lKfbqMOBsVnQ== 0001038661-08-000006.txt : 20081014 0001038661-08-000006.hdr.sgml : 20081013 20081014095447 ACCESSION NUMBER: 0001038661-08-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080930 FILED AS OF DATE: 20081014 DATE AS OF CHANGE: 20081014 EFFECTIVENESS DATE: 20081014 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: 081120213 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: September 30, 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 October 13, 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: 77 Form 13F Information Table Value Total: 133367 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 273 4000 SH SOLE 4000 ABB LTD SPONSORED ADR COM 000375204 2573 132645 SH SOLE 132645 ABBOTT LABORATORIES COM 002824100 4673 81150 SH SOLE 81150 AIR PRODUCTS & CHEMICALS INC COM 009158106 2829 41300 SH SOLE 41300 AMERICAN EXPRESS COMPANY COM 025816109 409 11550 SH SOLE 11550 ANESIVA INC COM 03460l100 40 27200 SH SOLE 27200 AON CORP COM 037389103 3808 84697 SH SOLE 84697 APPLE INC COM 037833100 2875 25298 SH SOLE 25298 AT&T INC COM 00206r102 3247 116290 SH SOLE 116290 AUTOMATIC DATA PROCESSING INC COM 053015103 470 10990 SH SOLE 10990 AXSYS TECHNOLOGIES INC COM 054615109 1209 20513 SH SOLE 20513 BAKER HUGHES INC COM 057224107 1465 24205 SH SOLE 24205 BALLY TECHNOLOGIES INC COM 05874b107 633 20900 SH SOLE 20900 BANK NEW YORK MELLON CORP COM 064058100 249 7647 SH SOLE 7647 BANK OF AMERICA CORP COM 060505104 2024 57830 SH SOLE 57830 BIOMIMETIC THERAPEUTICS INC COM 09064x101 111 10000 SH SOLE 10000 BLOUNT INTL INC-NEW COM 095180105 167 15000 SH SOLE 15000 BOARDWALK PIPELINE PARTNERS LP COM 096627104 1200 58275 SH SOLE 58275 BOEING CO COM 097023105 1206 21025 SH SOLE 21025 CAROLCO PICTURES INC COM 143763100 0 10000 SH SOLE 10000 CHEVRON CORPORATION COM 166764100 2440 29578 SH SOLE 29578 CISCO SYSTEMS INC COM COM 17275r102 277 12275 SH SOLE 12275 CITIGROUP INC COM 172967101 434 21141 SH SOLE 21141 CONOCOPHILLIPS COM 20825c104 3132 42761 SH SOLE 42761 CONSOLIDATED EDISON INC COM 209115104 2596 60425 SH SOLE 60425 CTI GROUP HOLDINGS INC COM 126431105 2 10000 SH SOLE 10000 CVS CAREMARK CORPORATION COM 126650100 3406 101177 SH SOLE 101177 DTE ENERGY CO COM 233331107 3054 76115 SH SOLE 76115 E M C CORPORATION MASS COM 268648102 136 11400 SH SOLE 11400 EL PASO CORPORATION COM 28336l109 2197 172195 SH SOLE 172195 EMERSON ELECTRIC CO COM 291011104 3528 86485 SH SOLE 86485 EXELON CORP COM 30161n101 4251 67889 SH SOLE 67889 EXXON MOBIL CORP COM 30231g102 1154 14860 SH SOLE 14860 FPL GROUP INC COM 302571104 3890 77345 SH SOLE 77345 GENERAL ELECTRIC CO COM 369604103 339 13279 SH SOLE 13279 GILEAD SCIENCES INC COM 375558103 419 9200 SH SOLE 9200 GRAFTECH INTERNATIONAL LTD COM COM 384313102 1199 79350 SH SOLE 79350 GSI GROUP INC COM 36229u102 35 10000 SH SOLE 10000 H J HEINZ CO COM 423074103 3928 78615 SH SOLE 78615 HARRIS CORP-DEL COM 413875105 3771 81630 SH SOLE 81630 HEWLETT PACKARD CO DEL COM 428236103 4903 106039 SH SOLE 106039 INTERNATIONAL BUSINESS MACHINE COM 459200101 2857 24431 SH SOLE 24431 JP MORGAN CHASE CO COM 46625h100 254 5447 SH SOLE 5447 KELLOGG CO COM 487836108 3271 58300 SH SOLE 58300 LEHMAN BROTHERS HOLDINGS INC COM 524908100 2 10000 SH SOLE 10000 LOCKHEED MARTIN CORP COM 539830109 1886 17199 SH SOLE 17199 MARATHON OIL CORP COM 565849106 1003 25145 SH SOLE 25145 MARSH & MCLENNAN COMPANIES INC COM 571748102 425 13375 SH SOLE 13375 MCDONALDS CORP COM 580135101 4543 73631 SH SOLE 73631 METLIFE INC COM 59156r108 1716 30639 SH SOLE 30639 MICROSOFT CORP COM 594918104 216 8080 SH SOLE 8080 MORGAN STANLEY COM 617446448 749 32555 SH SOLE 32555 NATIONAL-OILWELL VARCO INC COM 637071101 2009 40000 SH SOLE 40000 NIKE INC-CL B COM 654106103 4557 68116 SH SOLE 68116 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 36 12000 SH SOLE 12000 PEPSICO INC COM 713448108 3636 51016 SH SOLE 51016 PFIZER INC COM 717081103 198 10747 SH SOLE 10747 PROCTER & GAMBLE CO COM 742718109 3649 52365 SH SOLE 52365 SCHLUMBERGER LTD COM 806857108 2683 34363 SH SOLE 34363 SL GREEN REALTY CORP COM 78440x101 389 6000 SH SOLE 6000 TARGET CORP COM 87612e106 3202 65272 SH SOLE 65272 THERMO FISHER SCIENTIFIC INC COM 883556102 4806 87375 SH SOLE 87375 THORN APPLE VALLEY INC COM 885184101 0 16138 SH SOLE 16138 TYCO INTERNATIONAL LTD COM g9143x208 797 22750 SH SOLE 22750 UNIFI INC COM 904677101 53 11000 SH SOLE 11000 UNITED TECHNOLOGIES CORP COM 913017109 2613 43510 SH SOLE 43510 VERIZON COMMUNICATIONS COM 92343v104 3749 116815 SH SOLE 116815 WAL-MART STORES INC COM 931142103 5200 86820 SH SOLE 86820 WEATHERFORD INTL LTD BERMUD COM g95089101 779 31000 SH SOLE 31000 WELLS FARGO & CO COM 949746101 2929 78054 SH SOLE 78054 WORLDGATE COMMUNICATIONS INC COM 98156l307 0 16000 SH SOLE 16000 FRANKLIN TEMPLETON FUNDS INCOM MUT 353496300 71 36026.201SH SOLE 36026.201 GATEWAY FUND CL A MUT 367829207 380 13885.263SH SOLE 13885.263 OPPENHEIMER INTERNATIONAL FUND MUT 68380t103 81 13578.275SH SOLE 13578.275 PRINCIPAL INVS FD INC HIGH YIE MUT 74254v661 75 10700.389SH SOLE 10700.389
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