-----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, I1Kq4ZzZI18b0wk6ehBBOSudWD7BZWDYYDonqQCj5jC0wTGIWYCjnKXACVk5ZTey f/JQJOV4V6sfBVvvUemOjg== 0001038661-09-000002.txt : 20090403 0001038661-09-000002.hdr.sgml : 20090403 20090403113433 ACCESSION NUMBER: 0001038661-09-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090331 FILED AS OF DATE: 20090403 DATE AS OF CHANGE: 20090403 EFFECTIVENESS DATE: 20090403 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: 09730693 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, 2009 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, 2009 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: 69 Form 13F Information Table Value Total: 91538 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 298 6000 SH SOLE 6000 ABB LTD SPONSORED ADR COM 000375204 1305 93605 SH SOLE 93605 ABBOTT LABORATORIES COM 002824100 3207 67229 SH SOLE 67229 AIR PRODUCTS & CHEMICALS INC COM 009158106 1710 30400 SH SOLE 30400 AMERICAN EXPRESS COMPANY COM 025816109 145 10625 SH SOLE 10625 ANESIVA INC COM 03460l100 8 27200 SH SOLE 27200 AON CORP COM 037389103 3440 84267 SH SOLE 84267 APPLE INC COM 037833100 3031 28830 SH SOLE 28830 AT&T INC COM 00206r102 3230 128169 SH SOLE 128169 AUTOMATIC DATA PROCESSING INC COM 053015103 793 22543 SH SOLE 22543 AXSYS TECHNOLOGIES INC COM 054615109 862 20513 SH SOLE 20513 BAKER HUGHES INC COM 057224107 476 16665 SH SOLE 16665 BANK OF AMERICA CORP COM 060505104 465 68233 SH SOLE 68233 BAXTER INTERNATIONAL INC COM 071813109 2269 44300 SH SOLE 44300 BIOMIMETIC THERAPEUTICS INC COM 09064x101 80 11250 SH SOLE 11250 BLOUNT INTL INC-NEW COM 095180105 69 15000 SH SOLE 15000 BOARDWALK PIPELINE PARTNERS LP COM 096627104 463 20650 SH SOLE 20650 BOEING CO COM 097023105 1115 31350 SH SOLE 31350 CHEVRON CORPORATION COM 166764100 1875 27889 SH SOLE 27889 CISCO SYSTEMS INC COM COM 17275r102 211 12599 SH SOLE 12599 CITIGROUP INC COM 172967101 65 25627 SH SOLE 25627 CONOCOPHILLIPS COM 20825c104 1826 46626 SH SOLE 46626 CONSOLIDATED EDISON INC COM 209115104 2045 51630 SH SOLE 51630 CTI GROUP HOLDINGS INC COM 126431105 1 10000 SH SOLE 10000 CVS CAREMARK CORPORATION COM 126650100 2989 108732 SH SOLE 108732 DTE ENERGY CO COM 233331107 1783 64355 SH SOLE 64355 E M C CORPORATION MASS COM 268648102 777 68200 SH SOLE 68200 EL PASO CORPORATION COM 28336l109 628 100495 SH SOLE 100495 EMERSON ELECTRIC CO COM 291011104 305 10675 SH SOLE 10675 EXELON CORP COM 30161n101 3108 68482 SH SOLE 68482 EXXON MOBIL CORP COM 30231g102 3232 47453 SH SOLE 47453 FPL GROUP INC COM 302571104 3737 73655 SH SOLE 73655 GENERAL ELECTRIC CO COM 369604103 141 13979 SH SOLE 13979 GILEAD SCIENCES INC COM 375558103 417 9000 SH SOLE 9000 GRAFTECH INTERNATIONAL LTD COM COM 384313102 444 72100 SH SOLE 72100 GSI GROUP INC COM 36229u102 28 30000 SH SOLE 30000 H J HEINZ CO COM 423074103 2650 80160 SH SOLE 80160 HARRIS CORP-DEL COM 413875105 2321 80215 SH SOLE 80215 HEWLETT PACKARD CO DEL COM 428236103 3301 102970 SH SOLE 102970 HOME DEPOT INC COM 437076102 1468 62312 SH SOLE 62312 JPMORGAN CHASE & CO COM 46625h100 2669 100406 SH SOLE 100406 LEHMAN BROTHERS HOLDINGS INC COM 524908100 0 10000 SH SOLE 10000 LOCKHEED MARTIN CORP COM 539830109 427 6184 SH SOLE 6184 LOWES COMPANIES INC COM 548661107 1247 68320 SH SOLE 68320 MARRIOTT INTERNATIONAL INC NEW COM 571903202 573 35000 SH SOLE 35000 MARSH & MCLENNAN COMPANIES INC COM 571748102 380 18775 SH SOLE 18775 MCDONALDS CORP COM 580135101 3013 55206 SH SOLE 55206 METLIFE INC COM 59156r108 838 36813 SH SOLE 36813 NATIONAL-OILWELL VARCO INC COM 637071101 1177 41000 SH SOLE 41000 NIKE INC-CL B COM 654106103 706 15065 SH SOLE 15065 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 9 12000 SH SOLE 12000 PEPSICO INC COM 713448108 3429 66607 SH SOLE 66607 PFIZER INC COM 717081103 231 16947 SH SOLE 16947 PROCTER & GAMBLE CO COM 742718109 1394 29599 SH SOLE 29599 SCHLUMBERGER LTD COM 806857108 2315 57003 SH SOLE 57003 TARGET CORP COM 87612e106 3035 88242 SH SOLE 88242 THERMO FISHER SCIENTIFIC INC COM 883556102 3433 96245 SH SOLE 96245 THORN APPLE VALLEY INC COM 885184101 0 16138 SH SOLE 16138 TYCO INTERNATIONAL LTD COM h89128104 717 36650 SH SOLE 36650 UNIFI INC COM 904677101 6 10000 SH SOLE 10000 UNITED TECHNOLOGIES CORP COM 913017109 1605 37345 SH SOLE 37345 VERIZON COMMUNICATIONS COM 92343v104 3590 118885 SH SOLE 118885 WAL-MART STORES INC COM 931142103 2856 54810 SH SOLE 54810 WEATHERFORD INTERNATIONAL LTD COM h27013103 280 25250 SH SOLE 25250 WELLS FARGO & CO COM 949746101 1010 70905 SH SOLE 70905 WORLDGATE COMMUNICATIONS INC COM 98156l307 5 16000 SH SOLE 16000 GATEWAY FUND CL A MUT 367829207 275 12274.884SH SOLE 12274.884
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