0001038661-12-000001.txt : 20120106
0001038661-12-000001.hdr.sgml : 20120106
20120106130622
ACCESSION NUMBER: 0001038661-12-000001
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20111231
FILED AS OF DATE: 20120106
DATE AS OF CHANGE: 20120106
EFFECTIVENESS DATE: 20120106
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: 12513838
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
cover13fnew.txt
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: December 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 January 6, 2012
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: 147902
List of Other Included Managers:
No. 13F File Number Name
Abner, Herrman & Brock Asset Management
FORM 13F
Master List
December 31, 2011
Voting Authority
--------------------------
Value Shares/ Sh/ Put/ Invstmt Other
Name of Issuer Title of class CUSIP (x$1000) Prn Amt Prn Call Dscretn Managers Sole Shared None
------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
3M COMPANY COM 88579y101 494 6050 SH Sole 6050
ABBOTT LABORATORIES COM 002824100 2966 52752 SH Sole 52752
AIR PRODUCTS & CHEMICALS INC COM 009158106 1890 22190 SH Sole 22190
ALLSTATE CORP COM 020002101 393 14350 SH Sole 14350
AMERICAN EXPRESS COMPANY COM 025816109 4309 91344 SH Sole 91344
ANHEUSER-BUSCH INBEV SA SPONSO COM 03524a108 1752 28725 SH Sole 28725
AON CORP COM 037389103 1903 40671 SH Sole 40671
APPLE INC COM 037833100 9556 23595 SH Sole 23595
AT&T INC COM 00206r102 281 9284 SH Sole 9284
AUTOMATIC DATA PROCESSING INC COM 053015103 2960 54808 SH Sole 54808
BAKER HUGHES INC COM 057224107 569 11695 SH Sole 11695
BAXTER INTERNATIONAL INC COM 071813109 1109 22420 SH Sole 22420
BOEING CO COM 097023105 7507 102345 SH Sole 102345
BRISTOL MYERS SQUIBB CO COM 110122108 3973 112739 SH Sole 112739
CARNIVAL CORP COMMON PAIRED ST COM 143658300 1445 44268 SH Sole 44268
CATERPILLAR INC COM 149123101 515 5680 SH Sole 5680
CBS CORP NEW CLASS B COM 124857202 204 7500 SH Sole 7500
CELGENE CORP COM 151020104 2501 36990 SH Sole 36990
CHEVRON CORPORATION COM 166764100 2569 24148 SH Sole 24148
COCA COLA CO COM 191216100 209 2985 SH Sole 2985
COLGATE PALMOLIVE CO COM 194162103 1208 13080 SH Sole 13080
CONOCOPHILLIPS COM 20825c104 1585 21755 SH Sole 21755
CORNING INC COM 219350105 350 26978 SH Sole 26978
CSX CORP COM 126408103 471 22380 SH Sole 22380
DEERE & CO COM 244199105 1090 14096 SH Sole 14096
DELL INC COM 24702r101 1481 101212 SH Sole 101212
DICKS SPORTING GOODS INC COM 253393102 2674 72510 SH Sole 72510
DIRECTV CLASS A NEW COM 25490a101 3277 76632 SH Sole 76632
DOW CHEMICAL CO. COM 260543103 1156 40180 SH Sole 40180
E M C CORPORATION MASS COM 268648102 4973 230893 SH Sole 230893
EMERSON ELECTRIC CO COM 291011104 1335 28656 SH Sole 28656
EXELON CORP COM 30161n101 855 19720 SH Sole 19720
EXXON MOBIL CORP COM 30231g102 3473 40974 SH Sole 40974
FEDEX CORP COM 31428x106 1249 14960 SH Sole 14960
FOREST LABORATORIES INC COM 345838106 858 28340 SH Sole 28340
GENERAL ELECTRIC CO COM 369604103 2113 117980 SH Sole 117980
GENERAL MOTORS COMPANY COM 37045v100 1970 97177 SH Sole 97177
GILEAD SCIENCES INC COM 375558103 277 6764 SH Sole 6764
H J HEINZ CO COM 423074103 2206 40830 SH Sole 40830
HELMERICH & PAYNE INC COM 423452101 206 3534 SH Sole 3534
HEWLETT PACKARD CO COM 428236103 2142 83139 SH Sole 83139
HOME DEPOT INC COM 437076102 2079 49454 SH Sole 49454
INTEL CORP COM 458140100 985 40628 SH Sole 40628
INTERNATIONAL BUSINESS MACHINE COM 459200101 347 1888 SH Sole 1888
JOHNSON & JOHNSON COM 478160104 268 4084 SH Sole 4084
JPMORGAN CHASE & CO COM 46625h100 3796 114167 SH Sole 114167
LAS VEGAS SANDS CORP COM 517834107 3849 90080 SH Sole 90080
MARRIOT INTERNATIONAL INC NEW COM fhb903208 0 450363 SH Sole 450363
MARRIOTT INTERNATIONAL INC NEW COM 571903202 1481 50770 SH Sole 50770
MCDONALDS CORP COM 580135101 2411 24031 SH Sole 24031
MERCK & CO INC NEW COM 58933y105 291 7710 SH Sole 7710
METLIFE INC COM 59156r108 2328 74672 SH Sole 74672
MICROSOFT CORP COM 594918104 531 20445 SH Sole 20445
NATIONAL-OILWELL VARCO INC COM 637071101 2131 31347 SH Sole 31347
NEXTERA ENERGY INC COM 65339f101 3431 56363 SH Sole 56363
NYVATEX OIL CORP COM 670794106 0 20000 SH Sole 20000
OILSANDS QUEST INC COM 678046103 2 12000 SH Sole 12000
ORACLE CORP COM 68389x105 232 9034 SH Sole 9034
PEPSICO INC COM 713448108 3762 56703 SH Sole 56703
PETSMART INC COM 716768106 2195 42804 SH Sole 42804
PFIZER INC COM 717081103 341 15775 SH Sole 15775
PROCTER & GAMBLE CO COM 742718109 877 13149 SH Sole 13149
QUALCOMM INC COM 747525103 5781 105680 SH Sole 105680
SCHLUMBERGER LTD COM 806857108 1952 28582 SH Sole 28582
SL GREEN REALTY CORP COM 78440x101 400 6000 SH Sole 6000
TARGET CORP COM 87612e106 3265 63741 SH Sole 63741
TIME WARNER INC NEW COM 887317303 5031 139221 SH Sole 139221
TRANSCEPT PHARMACEUTICALS INC COM 89354m106 235 30000 SH Sole 30000
TYCO INTERNATIONAL LTD COM h89128104 1143 24467 SH Sole 24467
UNITED CONTINENTAL HLDGS INC COM 910047109 216 11465 SH Sole 11465
UNITED TECHNOLOGIES CORP COM 913017109 3151 43108 SH Sole 43108
UNITEDHEALTH GROUP INC COM 91324p102 3457 68206 SH Sole 68206
VERIZON COMMUNICATIONS COM 92343v104 1134 28275 SH Sole 28275
VIACOM INC NEW CLASS B COM 92553p201 341 7500 SH Sole 7500
WAL-MART STORES INC COM 931142103 975 16320 SH Sole 16320
WALT DISNEY CO COM 254687106 4609 122895 SH Sole 122895
WEATHERFORD INTERNATIONAL LTD COM h27013103 232 15850 SH Sole 15850
WELLPOINT INC COM 94973v107 635 9580 SH Sole 9580
WELLS FARGO & CO COM 949746101 1611 58459 SH Sole 58459
WORLDGATE COMMUNICATIONS INC COM 98156l307 1 16000 SH Sole 16000
GATEWAY FUND CL A MUT 367829207 339 12838.400SH Sole 12838.400
REPORT SUMMARY 81 DATA RECORDS 147902 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED