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