# EDGAR Filing Document

**Accession Number:** 0001038661
**File Stem:** 0001038661-25-000002
**Filing Date:** 2025-10
**Character Count:** 14339
**Document Hash:** 1b852a38730747a56e1b303fd6bb4a4c
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001038661-25-000002.hdr.sgml**: 20251014

**ACCESSION NUMBER**: 0001038661-25-000002

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

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20250930

**FILED AS OF DATE**: 20251014

**DATE AS OF CHANGE**: 20251014

**EFFECTIVENESS DATE**: 20251014

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** ABNER HERRMAN & BROCK LLC
- **CENTRAL INDEX KEY:** 0001038661

**ORGANIZATION NAME:**
- **EIN:** 205472473
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 13F-HR
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 028-06312
- **FILM NUMBER:** 251390547

**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:** 09-30-2025

**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

**CRD Number (if applicable):** 000008517

**SEC File Number (if applicable):** 8-25549

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:** 2014842022

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

Frank Palo  Jersey City, NJ  10-14-2025<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:** 114

**Form 13F Information Table Value Total:** $970544

      (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 |  | 605 | 3900 | SH |  | SOLE |  | 3900 | 0 | 0 |
| ABBOTT LABORATORIES | COM | 002824100 |  | 18316 | 136748 | SH |  | SOLE |  | 136748 | 0 | 0 |
| ABBVIE INC | COM | 00287Y109 |  | 903 | 3901 | SH |  | SOLE |  | 3901 | 0 | 0 |
| ADVANCED MICRO DEVICES | COM | 007903107 |  | 21402 | 132281 | SH |  | SOLE |  | 132281 | 0 | 0 |
| AIR PRODUCTS  CHEMICALS INC | COM | 009158106 |  | 9875 | 36209 | SH |  | SOLE |  | 36209 | 0 | 0 |
| ALLSTATE CORP | COM | 020002101 |  | 1583 | 7374 | SH |  | SOLE |  | 7374 | 0 | 0 |
| ALPHABET INC SHS CL A | COM | 02079k305 |  | 568 | 2338 | SH |  | SOLE |  | 2338 | 0 | 0 |
| ALPHABET INC-CL C | COM | 02079K107 |  | 30418 | 124895 | SH |  | SOLE |  | 124895 | 0 | 0 |
| AMAZON.COM INC | COM | 023135106 |  | 32675 | 148813 | SH |  | SOLE |  | 148813 | 0 | 0 |
| AMERICAN EXPRESS CO | COM | 025816109 |  | 25154 | 75728 | SH |  | SOLE |  | 75728 | 0 | 0 |
| AMERICAN INTERNATIONAL GROUP | COM | 026874784 |  | 12958 | 164984 | SH |  | SOLE |  | 164984 | 0 | 0 |
| AMERICAN WATER WORKS CO INC | COM | 030420103 |  | 418 | 3000 | SH |  | SOLE |  | 3000 | 0 | 0 |
| AMGEN INC | COM | 031162100 |  | 3365 | 11926 | SH |  | SOLE |  | 11926 | 0 | 0 |
| AON PLC-CLASS A | COM | g0403h108 |  | 19712 | 55281 | SH |  | SOLE |  | 55281 | 0 | 0 |
| APPLE INC | COM | 037833100 |  | 30328 | 119106 | SH |  | SOLE |  | 119106 | 0 | 0 |
| AUTOMATIC DATA PROCESSING | COM | 053015103 |  | 16544 | 56368 | SH |  | SOLE |  | 56368 | 0 | 0 |
| BANK OF NEW YORK MELLON CORP | COM | 064058100 |  | 5870 | 53875 | SH |  | SOLE |  | 53875 | 0 | 0 |
| BERKSHIRE HATHAWAYINC   DEL CL | COM | 084670702 |  | 668 | 1329 | SH |  | SOLE |  | 1329 | 0 | 0 |
| BLACKROCK INC | COM | 09290D101 |  | 512 | 439 | SH |  | SOLE |  | 439 | 0 | 0 |
| BOEING CO/THE | COM | 097023105 |  | 3267 | 15135 | SH |  | SOLE |  | 15135 | 0 | 0 |
| BRISTOW GROUP INC | COM | 11040G103 |  | 209 | 5790 | SH |  | SOLE |  | 5790 | 0 | 0 |
| BROADCOM INC | COM | 11135F101 |  | 928 | 2813 | SH |  | SOLE |  | 2813 | 0 | 0 |
| CAMDEN NATIONAL CORP | COM | 133034108 |  | 211 | 5464 | SH |  | SOLE |  | 5464 | 0 | 0 |
| CAPITAL ONE FINL | COM | 14040h105 |  | 235 | 1107 | SH |  | SOLE |  | 1107 | 0 | 0 |
| CHEVRON CORP | COM | 166764100 |  | 14549 | 93690 | SH |  | SOLE |  | 93690 | 0 | 0 |
| CHUBB LTD | COM | h1467j104 |  | 19866 | 70385 | SH |  | SOLE |  | 70385 | 0 | 0 |
| CISCO SYSTEMS INC | COM | 17275R102 |  | 313 | 4574 | SH |  | SOLE |  | 4574 | 0 | 0 |
| CITIGROUP INC | COM | 172967424 |  | 10075 | 99265 | SH |  | SOLE |  | 99265 | 0 | 0 |
| CONOCOPHILLIPS | COM | 20825C104 |  | 389 | 4110 | SH |  | SOLE |  | 4110 | 0 | 0 |
| COSTCO WHOLESALE CORP | COM | 22160K105 |  | 515 | 556 | SH |  | SOLE |  | 556 | 0 | 0 |
| DEERE  CO | COM | 244199105 |  | 1523 | 3330 | SH |  | SOLE |  | 3330 | 0 | 0 |
| DELL TECHNOLOGIES -C | COM | 24703L202 |  | 22344 | 157606 | SH |  | SOLE |  | 157606 | 0 | 0 |
| DORIAN LPG LTD | COM | y2106r110 |  | 313 | 10500 | SH |  | SOLE |  | 10500 | 0 | 0 |
| DUPONT DE NEMOURS INC | COM | 26614N102 |  | 818 | 10500 | SH |  | SOLE |  | 10500 | 0 | 0 |
| EATON CORP PLC | COM | g29183103 |  | 762 | 2035 | SH |  | SOLE |  | 2035 | 0 | 0 |
| EDWARDS LIFESCIENCES CORP | COM | 28176E108 |  | 591 | 7595 | SH |  | SOLE |  | 7595 | 0 | 0 |
| ELI LILLY  CO | COM | 532457108 |  | 21212 | 27800 | SH |  | SOLE |  | 27800 | 0 | 0 |
| EMERSON ELECTRIC CO | COM | 291011104 |  | 10665 | 81303 | SH |  | SOLE |  | 81303 | 0 | 0 |
| ENBRIDGE INC | COM | 29250N105 |  | 204 | 4036 | SH |  | SOLE |  | 4036 | 0 | 0 |
| ENERGY TRANSFER LP | COM | 29273V100 |  | 601 | 35000 | SH |  | SOLE |  | 35000 | 0 | 0 |
| EQT CORP | COM | 26884L109 |  | 753 | 13827 | SH |  | SOLE |  | 13827 | 0 | 0 |
| EXXON MOBIL CORP | COM | 30231G102 |  | 14383 | 127565 | SH |  | SOLE |  | 127565 | 0 | 0 |
| FACTSET RESEARCH SYSTEMS INC | COM | 303075105 |  | 1146 | 4000 | SH |  | SOLE |  | 4000 | 0 | 0 |
| FARMERS  MERCHANTS | COM | 30779n105 |  | 222 | 8869 | SH |  | SOLE |  | 8869 | 0 | 0 |
| FIFTH THIRD BANCORP | COM | 316773100 |  | 367 | 8231 | SH |  | SOLE |  | 8231 | 0 | 0 |
| FIRST CITIZENS | COM | 31946m103 |  | 1374 | 768 | SH |  | SOLE |  | 768 | 0 | 0 |
| GLOBAL LIFE INC | COM | 37959e102 |  | 386 | 2700 | SH |  | SOLE |  | 2700 | 0 | 0 |
| GOLDMAN SACHS GROUP INC | COM | 38141G104 |  | 579 | 727 | SH |  | SOLE |  | 727 | 0 | 0 |
| HARTFORD FINANCIAL SVCS GRP | COM | 416515104 |  | 534 | 4000 | SH |  | SOLE |  | 4000 | 0 | 0 |
| HILTON WORLDWIDE HOLDINGS INC | COM | 43300a203 |  | 4300 | 16575 | SH |  | SOLE |  | 16575 | 0 | 0 |
| HOME DEPOT INC | COM | 437076102 |  | 15043 | 37126 | SH |  | SOLE |  | 37126 | 0 | 0 |
| HONEYWELL INTERNATIONAL INC | COM | 438516106 |  | 298 | 1415 | SH |  | SOLE |  | 1415 | 0 | 0 |
| HOWMET AEROSPACE INC    ISSUED | COM | 443201108 |  | 262 | 1333 | SH |  | SOLE |  | 1333 | 0 | 0 |
| INTL BUSINESS MACHINES CORP | COM | 459200101 |  | 40971 | 145206 | SH |  | SOLE |  | 145206 | 0 | 0 |
| INTUIT INC | COM | 461202103 |  | 20950 | 30678 | SH |  | SOLE |  | 30678 | 0 | 0 |
| INTUITIVE SURGICAL INC | COM | 46120E602 |  | 9777 | 21861 | SH |  | SOLE |  | 21861 | 0 | 0 |
| ISHARES CORE S 500 ETF | COM | 464287200 |  | 369 | 552 | SH |  | SOLE |  | 552 | 0 | 0 |
| ISHARES RUSSELL 1000    VALUE | COM | 464287598 |  | 305 | 1500 | SH |  | SOLE |  | 1500 | 0 | 0 |
| ISHARES RUSSELL 1000 GROWTH | COM | 464287614 |  | 479 | 1022 | SH |  | SOLE |  | 1022 | 0 | 0 |
| ISHARES S 100 ETF | COM | 464287101 |  | 1016 | 3053 | SH |  | SOLE |  | 3053 | 0 | 0 |
| JOHNSON  JOHNSON | COM | 478160104 |  | 607 | 3276 | SH |  | SOLE |  | 3276 | 0 | 0 |
| JPMORGAN CHASE  CO | COM | 46625H100 |  | 39059 | 123828 | SH |  | SOLE |  | 123828 | 0 | 0 |
| LOCKHEED MARTIN CORP | COM | 539830109 |  | 2107 | 4221 | SH |  | SOLE |  | 4221 | 0 | 0 |
| LOEWS CORP | COM | 540424108 |  | 251 | 2500 | SH |  | SOLE |  | 2500 | 0 | 0 |
| LOWE'S COS INC | COM | 548661107 |  | 242 | 961 | SH |  | SOLE |  | 961 | 0 | 0 |
| MARRIOTT INTERNATIONAL -CL A | COM | 571903202 |  | 18528 | 71141 | SH |  | SOLE |  | 71141 | 0 | 0 |
| MARSH  MCLENNAN COS | COM | 571748102 |  | 353 | 1750 | SH |  | SOLE |  | 1750 | 0 | 0 |
| MASTERCARD INC - A | COM | 57636Q104 |  | 22715 | 39935 | SH |  | SOLE |  | 39935 | 0 | 0 |
| MCDONALD'S CORP | COM | 580135101 |  | 17093 | 56246 | SH |  | SOLE |  | 56246 | 0 | 0 |
| MCKESSON CORP | COM | 58155Q103 |  | 279 | 361 | SH |  | SOLE |  | 361 | 0 | 0 |
| MERCK  CO. INC. | COM | 58933Y105 |  | 872 | 10395 | SH |  | SOLE |  | 10395 | 0 | 0 |
| META PLATFORMS INC-CLASS A | COM | 30303M102 |  | 29599 | 40304 | SH |  | SOLE |  | 40304 | 0 | 0 |
| MICROSOFT CORP | COM | 594918104 |  | 40626 | 78437 | SH |  | SOLE |  | 78437 | 0 | 0 |
| MORGAN STANLEY | COM | 617446448 |  | 25991 | 163509 | SH |  | SOLE |  | 163509 | 0 | 0 |
| NETFLIX INC | COM | 64110L106 |  | 40299 | 33613 | SH |  | SOLE |  | 33613 | 0 | 0 |
| NEWMONT CORP | COM | 651639106 |  | 304 | 3600 | SH |  | SOLE |  | 3600 | 0 | 0 |
| NEXTERA ENERGY INC | COM | 65339F101 |  | 853 | 11304 | SH |  | SOLE |  | 11304 | 0 | 0 |
| NOVARTIS ADR | COM | 66987v109 |  | 385 | 3000 | SH |  | SOLE |  | 3000 | 0 | 0 |
| NVIDIA CORP | COM | 67066G104 |  | 77587 | 415839 | SH |  | SOLE |  | 415839 | 0 | 0 |
| OLD REPUBLIC INTL CORP | COM | 680223104 |  | 526 | 12375 | SH |  | SOLE |  | 12375 | 0 | 0 |
| ORACLE CORP | COM | 68389X105 |  | 32728 | 116369 | SH |  | SOLE |  | 116369 | 0 | 0 |
| PALANTIR TECHNOLOGIES INC | COM | 69608a108 |  | 7150 | 39195 | SH |  | SOLE |  | 39195 | 0 | 0 |
| PEPSICO INC | COM | 713448108 |  | 1505 | 10718 | SH |  | SOLE |  | 10718 | 0 | 0 |
| PFIZER INC | COM | 717081103 |  | 376 | 14750 | SH |  | SOLE |  | 14750 | 0 | 0 |
| PHILLIPS 66 | COM | 718546104 |  | 544 | 4000 | SH |  | SOLE |  | 4000 | 0 | 0 |
| PNC FINANCIAL SERVICES GROUP | COM | 693475105 |  | 203 | 1012 | SH |  | SOLE |  | 1012 | 0 | 0 |
| PROCTER  GAMBLE CO/THE | COM | 742718109 |  | 3486 | 22690 | SH |  | SOLE |  | 22690 | 0 | 0 |
| PUBLIC SERVICE ENTERPRISE GP | COM | 744573106 |  | 1345 | 16115 | SH |  | SOLE |  | 16115 | 0 | 0 |
| QUANTA SERVICES INC | COM | 74762e102 |  | 5777 | 13939 | SH |  | SOLE |  | 13939 | 0 | 0 |
| REALTY INCOME CORP | COM | 756109104 |  | 608 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| REDWOOD FINANCIALS INC | COM | 757903109 |  | 200 | 1000 | SH |  | SOLE |  | 1000 | 0 | 0 |
| REGENERON PHARMACEUTICALS | COM | 75886F107 |  | 313 | 557 | SH |  | SOLE |  | 557 | 0 | 0 |
| ROYAL CARIBBEAN GROUP | COM | v7780t103 |  | 8853 | 27360 | SH |  | SOLE |  | 27360 | 0 | 0 |
| RTX CORP | COM | 75513E101 |  | 14599 | 87246 | SH |  | SOLE |  | 87246 | 0 | 0 |
| SALESFORCE INC | COM | 79466L302 |  | 17197 | 72562 | SH |  | SOLE |  | 72562 | 0 | 0 |
| SPDR GOLD SHARES | COM | 78463V107 |  | 241 | 677 | SH |  | SOLE |  | 677 | 0 | 0 |
| SPDR PORTFOLIO S 500 ETF | COM | 78464a854 |  | 405 | 5169 | SH |  | SOLE |  | 5169 | 0 | 0 |
| SPDR S 500 ETF TRUST | COM | 78462f103 |  | 8632 | 12958 | SH |  | SOLE |  | 12958 | 0 | 0 |
| STRYKER CORP | COM | 863667101 |  | 12216 | 33045 | SH |  | SOLE |  | 33045 | 0 | 0 |
| TAIWAN SEMICONDUCTOR-SP ADR | COM | 874039100 |  | 6086 | 21792 | SH |  | SOLE |  | 21792 | 0 | 0 |
| TC ENERGY CORP | COM | 87807b107 |  | 218 | 4000 | SH |  | SOLE |  | 4000 | 0 | 0 |
| TESLA INC | COM | 88160R101 |  | 24851 | 55880 | SH |  | SOLE |  | 55880 | 0 | 0 |
| THEGLOBE.COM INC | COM | 88335r101 |  | 3 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| TOTALENERGIES SE | COM | 89151e109 |  | 298 | 5000 | SH |  | SOLE |  | 5000 | 0 | 0 |
| TRAVELERS COS INC/THE | COM | 89417E109 |  | 1166 | 4177 | SH |  | SOLE |  | 4177 | 0 | 0 |
| UBER TECHNOLOGIES INC | COM | 90353T100 |  | 3769 | 38473 | SH |  | SOLE |  | 38473 | 0 | 0 |
| UNION PACIFIC CORP | COM | 907818108 |  | 338 | 1430 | SH |  | SOLE |  | 1430 | 0 | 0 |
| VALLEY NATIONAL BANCORP | COM | 919794107 |  | 134 | 12650 | SH |  | SOLE |  | 12650 | 0 | 0 |
| VANGUARD GROWTH ETF | COM | 922908736 |  | 204 | 425 | SH |  | SOLE |  | 425 | 0 | 0 |
| VANGUARD S 500 ETF | COM | 922908363 |  | 271 | 443 | SH |  | SOLE |  | 443 | 0 | 0 |
| VISA INC-CLASS A SHARES | COM | 92826C839 |  | 260 | 760 | SH |  | SOLE |  | 760 | 0 | 0 |
| WALMART INC | COM | 931142103 |  | 21168 | 205392 | SH |  | SOLE |  | 205392 | 0 | 0 |
| WASTE MANAGEMENT INC | COM | 94106L109 |  | 377 | 1705 | SH |  | SOLE |  | 1705 | 0 | 0 |
| WELLS FARGO  CO | COM | 949746101 |  | 21769 | 259717 | SH |  | SOLE |  | 259717 | 0 | 0 |

---