# EDGAR Filing Document

**Accession Number:** 0001038661
**File Stem:** 0001038661-23-000001
**Filing Date:** 2023-1
**Character Count:** 12775
**Document Hash:** 6d409e19599e6380cc335bb5646ce9fc
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001038661-23-000001.hdr.sgml**: 20230104

**ACCESSION NUMBER**: 0001038661-23-000001

**CONFORMED SUBMISSION TYPE**: 13F-HR

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230104

**DATE AS OF CHANGE**: 20230104

**EFFECTIVENESS DATE**: 20230104

**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:** 23505012

**BUSINESS ADDRESS:**
- **STREET 1:** HARBORSIDE 5
- **STREET 2:** 185 HUDSON STREET, SUITE 1640
- **CITY:** JERSEY CITY
- **STATE:** NJ
- **ZIP:** 07311
- **BUSINESS PHONE:** 2014842000

**MAIL ADDRESS:**
- **STREET 1:** HARBORSIDE 5
- **STREET 2:** 185 HUDSON STREET, SUITE 1640
- **CITY:** JERSEY CITY
- **STATE:** NJ
- **ZIP:** 07311

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** ABNER HERRMAN & BROCK INC
- **DATE OF NAME CHANGE:** 19990317

### FORM 13F COVER PAGE

**Report for the Calendar Year or Quarter Ended:** 12-31-2022

**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<br>**Address:** HARBORSIDE 5<br>185 HUDSON STREET SUITE 1640<br>JERSEY CITY, NJ 07311

**Form 13F File Number:** 028-06312

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.

**Person Signing this Report on Behalf of Reporting Manager:**

**Name:** Frank Palo<br>**Title:** SVP<br>**Phone:** 201-484-2022

**Signature, Place, and Date of Signing:**

Frank Palo  Jersey City, NJ  01-04-2023<br>[Signature]  [City, State]  [Date]

**Report Type (Check only one.):**

[x] **13F HOLDINGS REPORT.** (Check here if all holdings of this reporting manager are reported in this report.)

[ ] **13F NOTICE.** (Check here if no holdings are reported in this report, and all holdings are reported by other reporting manager(s).)

[ ] **13F COMBINATION REPORT.** (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).)

### Form 13F Summary Page

**Report Summary:**

**Number of Other Included Managers:** 0

**Form 13F Information Table Entry Total:** 97

**Form 13F Information Table Value Total:** $651010

      (round to nearest dollar)

**List of Other Included Managers:**

Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.

[If there are no entries in this list, state “NONE” and omit the column headings and list entries.]

**NONE**

### FORM 13F INFORMATION TABLE

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | VOTING AUTHORITY | VOTING AUTHORITY | VOTING AUTHORITY |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | SOLE | SHARED | NONE |
| 3M CO | COM | 88579Y101 |  | 351 | 2929 | SH |  | SOLE |  | 2929 | 0 | 0 |
| ABBOTT LABORATORIES | COM | 002824100 |  | 19004 | 173096 | SH |  | SOLE |  | 173096 | 0 | 0 |
| ABBVIE INC | COM | 00287Y109 |  | 1007 | 6229 | SH |  | SOLE |  | 6229 | 0 | 0 |
| AIR PRODUCTS  CHEMICALS INC | COM | 009158106 |  | 11869 | 38502 | SH |  | SOLE |  | 38502 | 0 | 0 |
| ALLSTATE CORP | COM | 020002101 |  | 1165 | 8592 | SH |  | SOLE |  | 8592 | 0 | 0 |
| ALPHABET INC-CL C | COM | 02079K107 |  | 455 | 5125 | SH |  | SOLE |  | 5125 | 0 | 0 |
| AMAZON.COM INC | COM | 023135106 |  | 2839 | 33803 | SH |  | SOLE |  | 33803 | 0 | 0 |
| AMERICAN ELECTRIC POWER | COM | 025537101 |  | 2436 | 25651 | SH |  | SOLE |  | 25651 | 0 | 0 |
| AMERICAN EXPRESS CO | COM | 025816109 |  | 18092 | 122448 | SH |  | SOLE |  | 122448 | 0 | 0 |
| AMERICAN INTERNATIONAL GROUP | COM | 026874784 |  | 4949 | 78257 | SH |  | SOLE |  | 78257 | 0 | 0 |
| AMERICAN WATER WORKS CO INC | COM | 030420103 |  | 533 | 3500 | SH |  | SOLE |  | 3500 | 0 | 0 |
| AMGEN INC | COM | 031162100 |  | 247 | 940 | SH |  | SOLE |  | 940 | 0 | 0 |
| AON PLC SHS CL A | COM | g0403h108 |  | 20107 | 66992 | SH |  | SOLE |  | 66992 | 0 | 0 |
| APPLE INC | COM | 037833100 |  | 18399 | 141605 | SH |  | SOLE |  | 141605 | 0 | 0 |
| AT INC | COM | 00206R102 |  | 205 | 11150 | SH |  | SOLE |  | 11150 | 0 | 0 |
| AUTOMATIC DATA PROCESSING | COM | 053015103 |  | 18978 | 79452 | SH |  | SOLE |  | 79452 | 0 | 0 |
| BANK OF AMERICA CORP | COM | 060505104 |  | 477 | 14406 | SH |  | SOLE |  | 14406 | 0 | 0 |
| BANK OF NEW YORK MELLON CORP | COM | 064058100 |  | 6660 | 146301 | SH |  | SOLE |  | 146301 | 0 | 0 |
| BECTON DICKINSON AND CO | COM | 075887109 |  | 217 | 852 | SH |  | SOLE |  | 852 | 0 | 0 |
| BERKSHIRE HATHAWAY INC DEL CL | COM | 084670702 |  | 310 | 1003 | SH |  | SOLE |  | 1003 | 0 | 0 |
| BLACKROCK INC | COM | 09247X101 |  | 323 | 456 | SH |  | SOLE |  | 456 | 0 | 0 |
| BOEING CO/THE | COM | 097023105 |  | 3650 | 19159 | SH |  | SOLE |  | 19159 | 0 | 0 |
| BRAINSTORM CELL THERAPEUTICS | COM | 10501E201 |  | 459 | 280000 | SH |  | SOLE |  | 280000 | 0 | 0 |
| BRISTOL-MYERS SQUIBB CO | COM | 110122108 |  | 15790 | 219457 | SH |  | SOLE |  | 219457 | 0 | 0 |
| BROADRIDGE FINANCIAL SOLUTIO | COM | 11133T103 |  | 260 | 1940 | SH |  | SOLE |  | 1940 | 0 | 0 |
| CHEVRON CORP | COM | 166764100 |  | 27077 | 150855 | SH |  | SOLE |  | 150855 | 0 | 0 |
| CHUBB LTD | COM | h1467j104 |  | 15824 | 71731 | SH |  | SOLE |  | 71731 | 0 | 0 |
| CLOROX COMPANY | COM | 189054109 |  | 210 | 1500 | SH |  | SOLE |  | 1500 | 0 | 0 |
| COCA-COLA CO/THE | COM | 191216100 |  | 455 | 7152 | SH |  | SOLE |  | 7152 | 0 | 0 |
| COLGATE-PALMOLIVE CO | COM | 194162103 |  | 372 | 4721 | SH |  | SOLE |  | 4721 | 0 | 0 |
| CONOCOPHILLIPS | COM | 20825C104 |  | 412 | 3492 | SH |  | SOLE |  | 3492 | 0 | 0 |
| COSTCO WHOLESALE CORP | COM | 22160K105 |  | 331 | 726 | SH |  | SOLE |  | 726 | 0 | 0 |
| DANAHER CORP | COM | 235851102 |  | 401 | 1510 | SH |  | SOLE |  | 1510 | 0 | 0 |
| DEERE  CO | COM | 244199105 |  | 14875 | 34693 | SH |  | SOLE |  | 34693 | 0 | 0 |
| DORIAN LPG LTD | COM | y2106r110 |  | 284 | 15000 | SH |  | SOLE |  | 15000 | 0 | 0 |
| DUPONT DE NEMOURS INC | COM | 26614N102 |  | 721 | 10500 | SH |  | SOLE |  | 10500 | 0 | 0 |
| EDWARDS LIFESCIENCES CORP | COM | 28176E108 |  | 3135 | 42021 | SH |  | SOLE |  | 42021 | 0 | 0 |
| ELI LILLY  CO | COM | 532457108 |  | 4303 | 11763 | SH |  | SOLE |  | 11763 | 0 | 0 |
| EMERSON ELECTRIC CO | COM | 291011104 |  | 23777 | 247519 | SH |  | SOLE |  | 247519 | 0 | 0 |
| EXXON MOBIL CORP | COM | 30231G102 |  | 25841 | 234276 | SH |  | SOLE |  | 234276 | 0 | 0 |
| FACTSET RESEARCH SYSTEMS INC | COM | 303075105 |  | 1605 | 4000 | SH |  | SOLE |  | 4000 | 0 | 0 |
| FEDEX CORP | COM | 31428X106 |  | 217 | 1254 | SH |  | SOLE |  | 1254 | 0 | 0 |
| FIFTH THIRD BANCORP | COM | 316773100 |  | 204 | 6231 | SH |  | SOLE |  | 6231 | 0 | 0 |
| FORD MOTOR CO | COM | 345370860 |  | 150 | 12900 | SH |  | SOLE |  | 12900 | 0 | 0 |
| GENERAL DYNAMICS CORP | COM | 369550108 |  | 328 | 1323 | SH |  | SOLE |  | 1323 | 0 | 0 |
| GOLDMAN SACHS GROUP INC | COM | 38141G104 |  | 470 | 1369 | SH |  | SOLE |  | 1369 | 0 | 0 |
| HALLIBURTON CO | COM | 406216101 |  | 767 | 19500 | SH |  | SOLE |  | 19500 | 0 | 0 |
| HOME DEPOT INC | COM | 437076102 |  | 17332 | 54872 | SH |  | SOLE |  | 54872 | 0 | 0 |
| HONEYWELL INTERNATIONAL INC | COM | 438516106 |  | 15128 | 70594 | SH |  | SOLE |  | 70594 | 0 | 0 |
| INTEL CORP | COM | 458140100 |  | 289 | 10950 | SH |  | SOLE |  | 10950 | 0 | 0 |
| INTL BUSINESS MACHINES CORP | COM | 459200101 |  | 19599 | 139107 | SH |  | SOLE |  | 139107 | 0 | 0 |
| ISHARES CORE S 500 ETF | COM | 464287200 |  | 348 | 907 | SH |  | SOLE |  | 907 | 0 | 0 |
| ISHARES S MID CAP 400 VALUE | COM | 464287705 |  | 252 | 2500 | SH |  | SOLE |  | 2500 | 0 | 0 |
| JOHNSON  JOHNSON | COM | 478160104 |  | 7313 | 41397 | SH |  | SOLE |  | 41397 | 0 | 0 |
| JPMORGAN CHASE  CO | COM | 46625H100 |  | 21472 | 160118 | SH |  | SOLE |  | 160118 | 0 | 0 |
| KEURIG DR PEPPER INC | COM | 49271V100 |  | 7048 | 197648 | SH |  | SOLE |  | 197648 | 0 | 0 |
| LOCKHEED MARTIN CORP | COM | 539830109 |  | 5159 | 10604 | SH |  | SOLE |  | 10604 | 0 | 0 |
| LPL FINANCIAL HOLDINGS INC | COM | 50212V100 |  | 3507 | 16225 | SH |  | SOLE |  | 16225 | 0 | 0 |
| MARRIOT INTERNATIONAL INC CL A | COM | fhb903208 |  | 0 | 318859 | SH |  | SOLE |  | 318859 | 0 | 0 |
| MARRIOTT INTERNATIONAL -CL A | COM | 571903202 |  | 11294 | 75858 | SH |  | SOLE |  | 75858 | 0 | 0 |
| MARSH  MCLENNAN COS | COM | 571748102 |  | 308 | 1863 | SH |  | SOLE |  | 1863 | 0 | 0 |
| MASTERCARD INC - A | COM | 57636Q104 |  | 15968 | 45921 | SH |  | SOLE |  | 45921 | 0 | 0 |
| MCDONALD'S CORP | COM | 580135101 |  | 16554 | 62816 | SH |  | SOLE |  | 62816 | 0 | 0 |
| MCKESSON CORP | COM | 58155Q103 |  | 2164 | 5770 | SH |  | SOLE |  | 5770 | 0 | 0 |
| MERCK  CO. INC. | COM | 58933Y105 |  | 21879 | 197200 | SH |  | SOLE |  | 197200 | 0 | 0 |
| METLIFE INC | COM | 59156R108 |  | 15994 | 221010 | SH |  | SOLE |  | 221010 | 0 | 0 |
| MICROSOFT CORP | COM | 594918104 |  | 18252 | 76108 | SH |  | SOLE |  | 76108 | 0 | 0 |
| MORGAN STANLEY | COM | 617446448 |  | 18175 | 213768 | SH |  | SOLE |  | 213768 | 0 | 0 |
| NEXTERA ENERGY INC | COM | 65339F101 |  | 14902 | 178255 | SH |  | SOLE |  | 178255 | 0 | 0 |
| NIKE INC -CL B | COM | 654106103 |  | 1156 | 9880 | SH |  | SOLE |  | 9880 | 0 | 0 |
| NVIDIA CORP | COM | 67066G104 |  | 425 | 2911 | SH |  | SOLE |  | 2911 | 0 | 0 |
| NYVATEX OIL CORP | COM | 670794106 |  | 0 | 20000 | SH |  | SOLE |  | 20000 | 0 | 0 |
| PEPSICO INC | COM | 713448108 |  | 23631 | 130804 | SH |  | SOLE |  | 130804 | 0 | 0 |
| PFIZER INC | COM | 717081103 |  | 605 | 11813 | SH |  | SOLE |  | 11813 | 0 | 0 |
| PROCTER  GAMBLE CO/THE | COM | 742718109 |  | 4235 | 27942 | SH |  | SOLE |  | 27942 | 0 | 0 |
| QUALCOMM INC | COM | 747525103 |  | 951 | 8647 | SH |  | SOLE |  | 8647 | 0 | 0 |
| RAYTHEON TECHNOLOGIES CORP | COM | 75513E101 |  | 13481 | 133583 | SH |  | SOLE |  | 133583 | 0 | 0 |
| SCHLUMBERGER LTD | COM | 806857108 |  | 17899 | 334811 | SH |  | SOLE |  | 334811 | 0 | 0 |
| SCHWAB (CHARLES) CORP | COM | 808513105 |  | 4026 | 48350 | SH |  | SOLE |  | 48350 | 0 | 0 |
| SPDR S 500 ETF TRUST | COM | 78462F103 |  | 590 | 1544 | SH |  | SOLE |  | 1544 | 0 | 0 |
| STRYKER CORP | COM | 863667101 |  | 7460 | 30512 | SH |  | SOLE |  | 30512 | 0 | 0 |
| TARGET CORP | COM | 87612E106 |  | 14046 | 94244 | SH |  | SOLE |  | 94244 | 0 | 0 |
| THEGLOBE.COM INC | COM | 88335r101 |  | 4 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| THERMO FISHER SCIENTIFIC INC | COM | 883556102 |  | 13413 | 24356 | SH |  | SOLE |  | 24356 | 0 | 0 |
| TRAVELERS COS INC/THE | COM | 89417E109 |  | 5312 | 28332 | SH |  | SOLE |  | 28332 | 0 | 0 |
| UNITED PARCEL SERVICE-CL B | COM | 911312106 |  | 13344 | 76759 | SH |  | SOLE |  | 76759 | 0 | 0 |
| UNITEDHEALTH GROUP INC | COM | 91324P102 |  | 19354 | 36504 | SH |  | SOLE |  | 36504 | 0 | 0 |
| VISA INC-CLASS A SHARES | COM | 92826C839 |  | 3073 | 14791 | SH |  | SOLE |  | 14791 | 0 | 0 |
| WALMART INC | COM | 931142103 |  | 1081 | 7624 | SH |  | SOLE |  | 7624 | 0 | 0 |
| WALT DISNEY CO/THE | COM | 254687106 |  | 326 | 3754 | SH |  | SOLE |  | 3754 | 0 | 0 |
| WASTE MANAGEMENT INC | COM | 94106L109 |  | 258 | 1643 | SH |  | SOLE |  | 1643 | 0 | 0 |
| WELLS FARGO  CO | COM | 949746101 |  | 562 | 13606 | SH |  | SOLE |  | 13606 | 0 | 0 |
| GATEWAY FUND CL A | MUT | 367829207 |  | 519 | 14600 | SH |  | SOLE |  | 14600 | 0 | 0 |
| HARDING LOEVNER INTL EQUITY FD | MUT | 412295107 |  | 385 | 16447 | SH |  | SOLE |  | 16447 | 0 | 0 |
| LOOMIS SAYLES GROWTH FD CL Y | MUT | 543487110 |  | 388 | 23852 | SH |  | SOLE |  | 23852 | 0 | 0 |
| PIONEER SEIRS HIGH INCOME MUNI | MUT | 72387n820 |  | 503 | 80726 | SH |  | SOLE |  | 80726 | 0 | 0 |
| VANGUARD 500 INDEX TR ADMIRAL | MUT | 922908710 |  | 501 | 1415 | SH |  | SOLE |  | 1415 | 0 | 0 |

---