0001038661-11-000003.txt : 20110412 0001038661-11-000003.hdr.sgml : 20110412 20110412152904 ACCESSION NUMBER: 0001038661-11-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110331 FILED AS OF DATE: 20110412 DATE AS OF CHANGE: 20110412 EFFECTIVENESS DATE: 20110412 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: 11754866 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, 2011 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 April 12,2011 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: 89 Form 13F Information Table Value Total: 184468 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 1097 11732 SH SOLE 11732 ABB LTD SPONSORED ADR COM 000375204 688 28450 SH SOLE 28450 ABBOTT LABORATORIES COM 002824100 2500 50963 SH SOLE 50963 AIR PRODUCTS & CHEMICALS INC COM 009158106 2080 23065 SH SOLE 23065 ALLSTATE CORP COM 020002101 1884 59274 SH SOLE 59274 AMERICAN EXPRESS COMPANY COM 025816109 4254 94125 SH SOLE 94125 AMERICAN INTERNATIONAL GROUP I COM 026874784 1759 50060 SH SOLE 50060 ANHEUSER-BUSCH INBEV SA SPONSO COM 03524a108 1417 24780 SH SOLE 24780 AON CORP COM 037389103 2153 40654 SH SOLE 40654 APPLE INC COM 037833100 8713 25002 SH SOLE 25002 AT&T INC COM 00206r102 281 9171 SH SOLE 9171 AUTOMATIC DATA PROCESSING INC COM 053015103 2968 57841 SH SOLE 57841 BAKER HUGHES INC COM 057224107 1036 14105 SH SOLE 14105 BANK OF AMERICA CORP COM 060505104 1611 120887 SH SOLE 120887 BAXTER INTERNATIONAL INC COM 071813109 1004 18665 SH SOLE 18665 BOEING CO COM 097023105 7362 99585 SH SOLE 99585 BRISTOL MYERS SQUIBB CO COM 110122108 4650 175935 SH SOLE 175935 CATERPILLAR INC COM 149123101 3265 29322 SH SOLE 29322 CHEVRON CORPORATION COM 166764100 2699 25120 SH SOLE 25120 CISCO SYSTEMS INC COM 17275r102 314 18317 SH SOLE 18317 CITIGROUP INC COM 172967101 995 225153 SH SOLE 225153 COCA COLA CO COM 191216100 216 3255 SH SOLE 3255 CONOCOPHILLIPS COM 20825c104 2765 34624 SH SOLE 34624 CORNING INC COM 219350105 813 39395 SH SOLE 39395 CSX CORP COM 126408103 5421 68965 SH SOLE 68965 DEERE & CO COM 244199105 1997 20615 SH SOLE 20615 DICKS SPORTING GOODS INC COM 253393102 1984 49615 SH SOLE 49615 DIRECTV CLASS A NEW COM 25490a101 3802 81247 SH SOLE 81247 DOW CHEMICAL CO. COM 260543103 3480 92174 SH SOLE 92174 E M C CORPORATION MASS COM 268648102 5804 218625 SH SOLE 218625 EL PASO CORPORATION COM 28336l109 293 16300 SH SOLE 16300 EMERSON ELECTRIC CO COM 291011104 3530 60414 SH SOLE 60414 EXELON CORP COM 30161n101 953 23100 SH SOLE 23100 EXXON MOBIL CORP COM 30231g102 3464 41174 SH SOLE 41174 FEDEX CORP COM 31428x106 1434 15330 SH SOLE 15330 FOREST LABORATORIES INC COM 345838106 2809 86965 SH SOLE 86965 GENERAL ELECTRIC CO COM 369604103 2197 109559 SH SOLE 109559 GENERAL MOTORS COMPANY COM 37045v100 1973 63590 SH SOLE 63590 GILEAD SCIENCES INC COM 375558103 355 8369 SH SOLE 8369 H J HEINZ CO COM 423074103 1461 29935 SH SOLE 29935 HARRIS CORP-DEL COM 413875105 2068 41701 SH SOLE 41701 HELMERICH & PAYNE INC COM 423452101 240 3500 SH SOLE 3500 HEWLETT PACKARD CO DEL COM 428236103 4324 105533 SH SOLE 105533 HOME DEPOT INC COM 437076102 2154 58116 SH SOLE 58116 INTEL CORP COM 458140100 1209 59938 SH SOLE 59938 INTERNATIONAL BUSINESS MACHINE COM 459200101 329 2017 SH SOLE 2017 JOHNSON & JOHNSON COM 478160104 224 3785 SH SOLE 3785 JPMORGAN CHASE & CO COM 46625h100 3822 82915 SH SOLE 82915 LAS VEGAS SANDS CORP COM 517834107 4343 102875 SH SOLE 102875 MARRIOT INTERNATIONAL INC NEW COM fhb903208 0 450363 SH SOLE 450363 MCDONALDS CORP COM 580135101 1988 26129 SH SOLE 26129 MERCK & CO INC NEW COM 58933y105 258 7806 SH SOLE 7806 METLIFE INC COM 59156r108 4899 109530 SH SOLE 109530 MICROSOFT CORP COM 594918104 264 10401 SH SOLE 10401 MORGAN STANLEY COM 617446448 258 9450 SH SOLE 9450 NATIONAL-OILWELL VARCO INC COM 637071101 2481 31298 SH SOLE 31298 NEXTERA ENERGY INC COM 65339f101 3198 58010 SH SOLE 58010 NON INVASIVE MONITORING SYSTEM COM 655366508 3 15000 SH SOLE 15000 NYVATEX OIL CORP COM 670794106 0 20000 SH SOLE 20000 OILSANDS QUEST INC COM 678046103 6 12000 SH SOLE 12000 ORACLE CORP COM 68389x105 305 9125 SH SOLE 9125 PEPSICO INC COM 713448108 3636 56447 SH SOLE 56447 PETSMART INC COM 716768106 622 15200 SH SOLE 15200 PFIZER INC COM 717081103 331 16275 SH SOLE 16275 PROCTER & GAMBLE CO COM 742718109 857 13906 SH SOLE 13906 QUALCOMM INC COM 747525103 725 13220 SH SOLE 13220 SCHLUMBERGER LTD COM 806857108 3028 32472 SH SOLE 32472 SL GREEN REALTY CORP COM 78440x101 451 6000 SH SOLE 6000 TARGET CORP COM 87612e106 3336 66707 SH SOLE 66707 TEXAS INSTRUMENTS INC COM 882508104 207 6000 SH SOLE 6000 THERMO FISHER SCIENTIFIC INC COM 883556102 6148 110669 SH SOLE 110669 TIME WARNER INC NEW COM 887317303 5150 144250 SH SOLE 144250 TRANSCEPT PHARMACEUTICALS INC COM 89354m106 328 40000 SH SOLE 40000 TRANSOCEAN LTD US LISTED COM h8817h100 635 8145 SH SOLE 8145 TYCO INTERNATIONAL LTD COM h89128104 2788 62275 SH SOLE 62275 UNITED CONTINENTAL HLDGS INC COM 910047109 987 42920 SH SOLE 42920 UNITED TECHNOLOGIES CORP COM 913017109 4342 51288 SH SOLE 51288 UNITEDHEALTH GROUP INC COM 91324p102 3108 68757 SH SOLE 68757 VALERO ENERGY CORP NEW COM 91913y100 2348 78733 SH SOLE 78733 VERIZON COMMUNICATIONS COM 92343v104 1116 28952 SH SOLE 28952 VIACOM INC NEW CLASS B COM 92553p201 349 7500 SH SOLE 7500 WAL-MART STORES INC COM 931142103 876 16830 SH SOLE 16830 WALT DISNEY CO COM 254687106 5539 128555 SH SOLE 128555 WEATHERFORD INTERNATIONAL LTD COM h27013103 3307 146311 SH SOLE 146311 WELLPOINT INC COM 94973v107 687 9847 SH SOLE 9847 WELLS FARGO & CO COM 949746101 3079 97136 SH SOLE 97136 WORLDGATE COMMUNICATIONS INC COM 98156l307 1 16000 SH SOLE 16000 WTS AMERICAN INTERNATIONAL GRO COM 026874156 297 26713 SH SOLE 26713 GATEWAY FUND CL A MUT 367829207 337 12676.106SH SOLE 12676.106