-----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, AjGF/8ixvBZHyLo+Bt7S+PQERnQC/KzdAoSMXeX/MurVTWoGvtXQtl6Dew5r3/RN OTqUWznn5zkb/hDHHnEl5w== 0001038661-10-000001.txt : 20100113 0001038661-10-000001.hdr.sgml : 20100113 20100113141440 ACCESSION NUMBER: 0001038661-10-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100113 DATE AS OF CHANGE: 20100113 EFFECTIVENESS DATE: 20100113 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: 10524779 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: December 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 January 13, 2010 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: 80 Form 13F Information Table Value Total: 150409 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 726 8787 SH SOLE 8787 ABB LTD SPONSORED ADR COM 000375204 1995 104460 SH SOLE 104460 ABBOTT LABORATORIES COM 002824100 3714 68792 SH SOLE 68792 AIR PRODUCTS & CHEMICALS INC COM 009158106 2396 29555 SH SOLE 29555 ALLSTATE CORP COM 020002101 1668 55519 SH SOLE 55519 AMERICAN EXPRESS COMPANY COM 025816109 6790 167582 SH SOLE 167582 AON CORP COM 037389103 3266 85188 SH SOLE 85188 APPLE INC COM 037833100 5600 26557 SH SOLE 26557 AT&T INC COM 00206r102 3468 123713 SH SOLE 123713 AUTOMATIC DATA PROCESSING INC COM 053015103 3122 72916 SH SOLE 72916 BAKER HUGHES INC COM 057224107 629 15532 SH SOLE 15532 BANK OF AMERICA CORP COM 060505104 1043 69242 SH SOLE 69242 BAXTER INTERNATIONAL INC COM 071813109 2789 47537 SH SOLE 47537 BLOUNT INTL INC-NEW COM 095180105 151 15000 SH SOLE 15000 BOEING CO COM 097023105 4961 91655 SH SOLE 91655 CHEVRON CORPORATION COM 166764100 2255 29287 SH SOLE 29287 CISCO SYSTEMS INC COM COM 17275r102 333 13908 SH SOLE 13908 CITIGROUP INC COM 172967101 158 47693 SH SOLE 47693 CONOCOPHILLIPS COM 20825c104 2153 42163 SH SOLE 42163 CONSOLIDATED EDISON INC COM 209115104 1544 33987 SH SOLE 33987 DTE ENERGY CO COM 233331107 2336 53580 SH SOLE 53580 E M C CORPORATION MASS COM 268648102 3846 220123 SH SOLE 220123 EL PASO CORPORATION COM 28336l109 879 89456 SH SOLE 89456 EMERSON ELECTRIC CO COM 291011104 423 9922 SH SOLE 9922 ENZO BIOCHEM INC COM 294100102 538 100000 SH SOLE 100000 EXELON CORP COM 30161n101 3287 67262 SH SOLE 67262 EXXON MOBIL CORP COM 30231g102 3345 49052 SH SOLE 49052 FPL GROUP INC COM 302571104 3874 73350 SH SOLE 73350 GENERAL ELECTRIC CO COM 369604103 3493 230862 SH SOLE 230862 GILEAD SCIENCES INC COM 375558103 373 8621 SH SOLE 8621 GRAFTECH INTERNATIONAL LTD COM COM 384313102 650 41800 SH SOLE 41800 GULFMARK OFFSHORE COM 402629109 261 9231 SH SOLE 9231 H J HEINZ CO COM 423074103 1779 41595 SH SOLE 41595 HARRIS CORP-DEL COM 413875105 4096 86131 SH SOLE 86131 HEWLETT PACKARD CO DEL COM 428236103 5334 103552 SH SOLE 103552 HOME DEPOT INC COM 437076102 2306 79696 SH SOLE 79696 INTEL CORP COM 458140100 3555 174265 SH SOLE 174265 INTERNATIONAL BUSINESS MACHINE COM 459200101 214 1637 SH SOLE 1637 J C PENNEY CO INC COM 708160106 2294 86200 SH SOLE 86200 JOHNSON & JOHNSON COM 478160104 215 3343 SH SOLE 3343 JPMORGAN CHASE & CO COM 46625h100 4384 105207 SH SOLE 105207 LEHMAN BROTHERS HOLDINGS INC COM 524908100 1 10000 SH SOLE 10000 LOWES COMPANIES INC COM 548661107 1925 82290 SH SOLE 82290 MARRIOT INTERNATIONAL INC NEW COM fhb903208 0 450363 SH SOLE 450363 MARRIOTT INTERNATIONAL INC NEW COM 571903202 877 32191 SH SOLE 32191 MARSH & MCLENNAN COMPANIES INC COM 571748102 402 18228 SH SOLE 18228 MCDONALDS CORP COM 580135101 1778 28474 SH SOLE 28474 METLIFE INC COM 59156r108 3218 91031 SH SOLE 91031 MICROSOFT CORP COM 594918104 249 8151 SH SOLE 8151 MORGAN STANLEY COM 617446448 1726 58310 SH SOLE 58310 NATIONAL-OILWELL VARCO INC COM 637071101 1815 41155 SH SOLE 41155 NIKE INC-CL B COM 654106103 1004 15199 SH SOLE 15199 NON INVASIVE MONITORING SYSTEM COM 655366508 6 15000 SH SOLE 15000 NYVATEX OIL CORP COM 670794106 0 20000 SH SOLE 20000 OILSANDS QUEST INC COM 678046103 14 12000 SH SOLE 12000 ORACLE CORP COM 68389x105 215 8776 SH SOLE 8776 PEPSICO INC COM 713448108 3493 57458 SH SOLE 57458 PFIZER INC COM 717081103 315 17318 SH SOLE 17318 PROCTER & GAMBLE CO COM 742718109 665 10969 SH SOLE 10969 QUALCOMM INC COM 747525103 3583 77449 SH SOLE 77449 SCHLUMBERGER LTD COM 806857108 1895 29115 SH SOLE 29115 SL GREEN REALTY CORP COM 78440x101 301 6000 SH SOLE 6000 TARGET CORP COM 87612e106 4265 88183 SH SOLE 88183 THERMO FISHER SCIENTIFIC INC COM 883556102 4755 99696 SH SOLE 99696 TIME WARNER INC NEW COM 887317303 1711 58732 SH SOLE 58732 TRANSCEPT PHARMACEUTICALS INC COM 89354m106 306 45000 SH SOLE 45000 TYCO INTERNATIONAL LTD COM h89128104 1138 31900 SH SOLE 31900 UNIFI INC COM 904677101 47 12000 SH SOLE 12000 UNITED TECHNOLOGIES CORP COM 913017109 2704 38961 SH SOLE 38961 UNITEDHEALTH GROUP INC COM 91324p102 3034 99536 SH SOLE 99536 VERIZON COMMUNICATIONS COM 92343v104 1953 58952 SH SOLE 58952 VIACOM INC NEW CL B COM 92553p201 223 7500 SH SOLE 7500 VMWARE INC CL A COM 928563402 288 6800 SH SOLE 6800 WAL-MART STORES INC COM 931142103 1361 25458 SH SOLE 25458 WALT DISNEY CO COM 254687106 3138 97310 SH SOLE 97310 WEATHERFORD INTERNATIONAL LTD COM h27013103 441 24651 SH SOLE 24651 WELLPOINT INC COM 94973v107 1450 24876 SH SOLE 24876 WELLS FARGO & CO COM 949746101 3543 131254 SH SOLE 131254 WORLDGATE COMMUNICATIONS INC COM 98156l307 12 16000 SH SOLE 16000 GATEWAY FUND CL A MUT 367829207 314 12433.023SH SOLE 12433.023
-----END PRIVACY-ENHANCED MESSAGE-----