Chief Compliance Officer

0001085146-19-002836.txt : 20191112 0001085146-19-002836.hdr.sgml : 20191112 20191112094023 ACCESSION NUMBER: 0001085146-19-002836 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191112 DATE AS OF CHANGE: 20191112 EFFECTIVENESS DATE: 20191112 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Pekin Hardy Strauss, Inc. CENTRAL INDEX KEY: 0001020317 IRS NUMBER: 363667359 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-05740 FILM NUMBER: 191206687 BUSINESS ADDRESS: STREET 1: 161 NORTH CLARK STREET STREET 2: SUITE 2200 CITY: CHICAGO STATE: IL ZIP: 60601 BUSINESS PHONE: 312-896-9668 MAIL ADDRESS: STREET 1: 161 NORTH CLARK STREET STREET 2: SUITE 2200 CITY: CHICAGO STATE: IL ZIP: 60601 FORMER COMPANY: FORMER CONFORMED NAME: PEKIN SINGER STRAUSS ASSET MANAGEMENT /IL DATE OF NAME CHANGE: 20060117 FORMER COMPANY: FORMER CONFORMED NAME: Pekin Singer Strauss Asset Management Inc. DATE OF NAME CHANGE: 20060117 FORMER COMPANY: FORMER CONFORMED NAME: PEKIN SINGER & SHAPIRO ASSET MANAGEMENT /IL DATE OF NAME CHANGE: 19990324 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001020317 XXXXXXXX 09-30-2019 09-30-2019 false Pekin Hardy Strauss, Inc.

161 NORTH CLARK STREET SUITE 2200 CHICAGO IL 60601

13F HOLDINGS REPORT 028-05740 N Jennifer Dunlap Chief Compliance Officer 312-554-7525 /s/ Jennifer Dunlap Chicago IL 11-11-2019 0 196 486739 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE ABBOTT LABS COM 002824100 1569 18754 SH SOLE 0 0 18754 ABBVIE INC COM 00287Y109 2800 36980 SH SOLE 0 0 36980 ABERDEEN STD GOLD ETF TR PHYSCL GOLD SHS 00326A104 1060 7467 SH SOLE 0 0 7467 ADAM NAT RES FD INC COM 00548F105 470 29675 SH SOLE 0 0 29675 AERCAP HOLDINGS NV SHS N00985106 340 6215 SH SOLE 0 0 6215 AGNICO EAGLE MINES LTD COM 008474108 938 17500 SH SOLE 0 0 17500 AIR LEASE CORP CL A 00912X302 12492 298703 SH SOLE 81650 0 217053 ALCON INC ORD SHS H01301128 779 13338 SH SOLE 0 0 13338 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 1146 6854 SH SOLE 0 0 6854 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 167 1000 SH Call SOLE 0 0 1000 ALLIANCE RES PARTNER L P UT LTD PART 01877R108 658 41120 SH SOLE 0 0 41120 ALLSTATE CORP COM 020002101 416 3826 SH SOLE 0 0 3826 ALPHABET INC CAP STK CL A 02079K305 6663 5456 SH SOLE 0 0 5456 ALPHABET INC CAP STK CL C 02079K107 6491 5325 SH SOLE 0 0 5325 ALPS ETF TR ALERIAN MLP 00162Q866 773 84520 SH SOLE 0 0 84520 ALTRIA GROUP INC COM 02209S103 1955 47792 SH SOLE 0 0 47792 AMAZON COM INC COM 023135106 3737 2153 SH SOLE 0 0 2153 AMERICAN ELEC PWR CO INC COM 025537101 901 9618 SH SOLE 0 0 9618 AMERICAN EXPRESS CO COM 025816109 312 2639 SH SOLE 0 0 2639 ANNALY CAP MGMT INC COM 035710409 1534 174343 SH SOLE 0 0 174343 AON PLC SHS CL A G0408V102 3162 16334 SH SOLE 0 0 16334 APPLE INC COM 037833100 6890 30764 SH SOLE 0 0 30764 ARDELYX INC COM 039697107 9592 2040762 SH SOLE 1446440 0 594322 ARES CAP CORP COM 04010L103 1927 103415 SH SOLE 0 0 103415 AT&T INC COM 00206R102 114 3000 SH Call SOLE 0 0 3000 AT&T INC COM 00206R102 1022 26998 SH SOLE 0 0 26998 AURORA CANNABIS INC COM 05156x108 65 14757 SH SOLE 0 0 14757 AUTOMATIC DATA PROCESSING IN COM 053015103 666 4126 SH SOLE 0 0 4126 BANK AMER CORP COM 060505104 568 19460 SH SOLE 0 0 19460 BANK NEW YORK MELLON CORP COM 064058100 2738 60557 SH SOLE 0 0 60557 BAXTER INTL INC COM 071813109 723 8267 SH SOLE 0 0 8267 BERKSHIRE HATHAWAY INC DEL CL A 084670108 312 1 SH SOLE 0 0 1 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 9124 43863 SH SOLE 0 0 43863 BIOGEN INC COM 09062X103 244 1046 SH SOLE 0 0 1046 BLACKROCK INC COM 09247X101 279 626 SH SOLE 0 0 626 BLACKSTONE GROUP INC COM CL A 09260D107 3343 68442 SH SOLE 0 0 68442 BLACKSTONE MTG TR INC COM CL A 09257W100 5306 148012 SH SOLE 0 0 148012 BOEING CO COM 097023105 405 1065 SH SOLE 0 0 1065 BOOKING HLDGS INC COM 09857L108 585 298 SH SOLE 0 0 298 BP PLC SPONSORED ADR 055622104 5025 132273 SH SOLE 0 0 132273 BRIGHTHOUSE FINL INC COM 10922N103 2627 64900 SH SOLE 0 0 64900 BRISTOL MYERS SQUIBB CO COM 110122108 2471 48736 SH SOLE 0 0 48736 BROADCOM INC COM 11135F101 359 1300 SH SOLE 0 0 1300 CAMBRIA ETF TR GLOBAL VALUE ETF 132061409 5602 250553 SH SOLE 0 0 250553 CAMECO CORP COM 13321L108 147 15424 SH SOLE 0 0 15424 CANADIAN NATL RY CO COM 136375102 2700 30047 SH SOLE 0 0 30047 CBOE GLOBAL MARKETS INC COM 12503M108 673 5856 SH SOLE 0 0 5856 CELGENE CORP COM 151020104 350 3520 SH SOLE 0 0 3520 CENTENE CORP DEL COM 15135B101 1198 27688 SH SOLE 0 0 27688 CF INDS HLDGS INC COM 125269100 1041 21150 SH SOLE 0 0 21150 CHARTER COMMUNICATIONS INC N CL A 16119P108 400 970 SH SOLE 0 0 970 CHEVRON CORP NEW COM 166764100 2070 17450 SH SOLE 0 0 17450 CHINA MOBILE LIMITED SPONSORED ADR 16941M109 13303 321327 SH SOLE 148575 0 172752 CHUBB LIMITED COM H1467J104 987 6111 SH SOLE 0 0 6111 CINEDIGM CORP COM NEW 172406209 9 10595 SH SOLE 10595 0 0 CISCO SYS INC COM 17275R102 292 5914 SH SOLE 0 0 5914 CITIZENS FINL GROUP INC COM 174610105 1143 32325 SH SOLE 0 0 32325 CME GROUP INC COM 12572Q105 2529 11964 SH SOLE 0 0 11964 COCA COLA CO COM 191216100 904 16614 SH SOLE 0 0 16614 COHEN & STEERS INFRASTRUCTUR COM 19248A109 513 18835 SH SOLE 0 0 18835 COHERENT INC COM 192479103 4037 26264 SH SOLE 5433 0 20831 COMCAST CORP NEW CL A 20030N101 322 7140 SH SOLE 0 0 7140 CONOCOPHILLIPS COM 20825C104 595 10436 SH SOLE 0 0 10436 COSTCO WHSL CORP NEW COM 22160K105 242 840 SH SOLE 0 0 840 CRITEO S A SPONS ADS 226718104 18188 973138 SH SOLE 546186 0 426952 CVS HEALTH CORP COM 126650100 989 15673 SH SOLE 0 0 15673 DANAHER CORPORATION COM 235851102 733 5072 SH SOLE 0 0 5072 DELTA AIR LINES INC DEL COM NEW 247361702 210 3650 SH SOLE 0 0 3650 DESPEGAR COM CORP ORD SHS G27358103 5132 453334 SH SOLE 278024 0 175310 DIAGEO P L C SPON ADR NEW 25243Q205 469 2868 SH SOLE 0 0 2868 DISNEY WALT CO COM DISNEY 254687106 1538 11805 SH SOLE 0 0 11805 DOMINION ENERGY INC COM 25746U109 260 3204 SH SOLE 0 0 3204 DUPONT DE NEMOURS INC COM 26614N102 272 3813 SH SOLE 0 0 3813 DYADIC INTL INC DEL COM 26745T101 376 61358 SH SOLE 0 0 61358 EATON CORP PLC SHS G29183103 1613 19402 SH SOLE 0 0 19402 EMBRAER S A SPONSORED ADS 29082A107 15085 874512 SH SOLE 460874 0 413638 EMERSON ELEC CO COM 291011104 1095 16379 SH SOLE 0 0 16379 ENBRIDGE INC COM 29250N105 748 21325 SH SOLE 0 0 21325 ENTERPRISE PRODS PARTNERS L COM 293792107 1332 46622 SH SOLE 0 0 46622 EXACT SCIENCES CORP COM 30063P105 361 4000 SH SOLE 0 0 4000 EXELON CORP COM 30161N101 6791 140582 SH SOLE 0 0 140582 EXXON MOBIL CORP COM 30231G102 6223 88136 SH SOLE 0 0 88136 FACEBOOK INC CL A 30303M102 652 3661 SH SOLE 0 0 3661 FEDEX CORP COM 31428X106 2268 15579 SH SOLE 0 0 15579 FRANCO NEVADA CORP COM 351858105 201 2205 SH SOLE 0 0 2205 FREEPORT-MCMORAN INC CL B 35671D857 144 15000 SH SOLE 0 0 15000 GABELLI EQUITY TR INC COM 362397101 138 23043 SH SOLE 0 0 23043 GENERAL DYNAMICS CORP COM 369550108 731 4000 SH SOLE 0 0 4000 GENERAL ELECTRIC CO COM 369604103 117 13040 SH SOLE 0 0 13040 GENERAL MTRS CO COM 37045V100 375 10018 SH SOLE 0 0 10018 GILEAD SCIENCES INC COM 375558103 595 9390 SH SOLE 0 0 9390 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 213 4996 SH SOLE 0 0 4996 GOLDMAN SACHS GROUP INC COM 38141G104 416 2008 SH SOLE 0 0 2008 GOLUB CAP BDC INC COM 38173M102 1998 106048 SH SOLE 0 0 106048 HELMERICH & PAYNE INC COM 423452101 206 5140 SH SOLE 0 0 5140 HOME DEPOT INC COM 437076102 607 2616 SH SOLE 0 0 2616 HUDSON TECHNOLOGIES INC COM 444144109 1685 2373758 SH SOLE 1092099 0 1281659 IDEX CORP COM 45167R104 369 2250 SH SOLE 0 0 2250 ILLINOIS TOOL WKS INC COM 452308109 299 1908 SH SOLE 0 0 1908 INTEL CORP COM 458140100 272 5277 SH SOLE 0 0 5277 INTERNATIONAL BUSINESS MACHS COM 459200101 886 6096 SH SOLE 0 0 6096 INVESCO EXCHNG TRADED FD TR CHINA REALESTE 46138E602 503 20350 SH SOLE 0 0 20350 INVESCO EXCHNG TRADED FD TR SR LN ETF 46138G508 1129 50000 SH Call SOLE 50000 0 0 INVESCO EXCHNG TRADED FD TR SR LN ETF 46138G508 1130 50000 SH Put SOLE 50000 0 0 IQIYI INC SPONSORED ADS 46267X108 202 12500 SH SOLE 0 0 12500 IQIYI INC SPONSORED ADS 46267X108 8 500 SH Call SOLE 0 0 500 ISHARES GOLD TRUST ISHARES 464285105 2035 144308 SH SOLE 0 0 144308 ISHARES TR CORE S&P500 ETF 464287200 690 2310 SH SOLE 0 0 2310 ISHARES TR MSCI EMG MKT ETF 464287234 610 14923 SH SOLE 0 0 14923 JD COM INC SPON ADR CL A 47215P106 200 7100 SH SOLE 0 0 7100 JOHNSON & JOHNSON COM 478160104 4707 36383 SH SOLE 0 0 36383 JONES LANG LASALLE INC COM 48020Q107 13191 94862 SH SOLE 27515 0 67347 JPMORGAN CHASE & CO COM 46625H100 3023 25683 SH SOLE 0 0 25683 LINDE PLC SHS G5494J103 210 1086 SH SOLE 0 0 1086 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 1622 24481 SH SOLE 0 0 24481 MANULIFE FINL CORP COM 56501R106 223 12124 SH SOLE 0 0 12124 MASTERCARD INC CL A 57636Q104 204 750 SH SOLE 0 0 750 MCDONALDS CORP COM 580135101 1684 7844 SH SOLE 0 0 7844 MCKESSON CORP COM 58155Q103 445 3255 SH SOLE 0 0 3255 MEDTRONIC PLC SHS G5960L103 736 6773 SH SOLE 0 0 6773 MERCK & CO INC COM 58933Y105 5157 61265 SH SOLE 0 0 61265 MFA FINL INC COM 55272X102 75 10250 SH SOLE 0 0 10250 MICROSOFT CORP COM 594918104 6089 43798 SH SOLE 0 0 43798 MONMOUTH REAL ESTATE INVT CO CL A 609720107 163 11340 SH SOLE 0 0 11340 MORNINGSTAR INC COM 617700109 364 2488 SH SOLE 0 0 2488 MOSAIC CO NEW COM 61945C103 9730 474635 SH SOLE 215779 0 258856 NEWMONT GOLDCORP CORPORATION COM 651639106 417 10996 SH SOLE 0 0 10996 NEXTERA ENERGY INC COM 65339F101 729 3128 SH SOLE 0 0 3128 NIKE INC CL B 654106103 533 5676 SH SOLE 0 0 5676 NOKIA CORP SPONSORED ADR 654902204 61 12091 SH SOLE 0 0 12091 NORTHROP GRUMMAN CORP COM 666807102 225 600 SH SOLE 0 0 600 NOVARTIS A G SPONSORED ADR 66987V109 6417 73841 SH SOLE 0 0 73841 NUTRIEN LTD COM 67077M108 289 5798 SH SOLE 0 0 5798 NUVEEN CR STRATEGIES INCM FD COM SHS 67073D102 260 34802 SH SOLE 0 0 34802 NUVEEN DIVERSIFIED DIV INCM COM 6706EP105 129 11725 SH SOLE 0 0 11725 PAN AMERICAN SILVER CORP COM 697900108 388 24715 SH SOLE 0 0 24715 PARK HOTELS RESORTS INC COM 700517105 1235 49450 SH SOLE 0 0 49450 PAYCHEX INC COM 704326107 248 2993 SH SOLE 0 0 2993 PAYPAL HLDGS INC COM 70450Y103 379 3655 SH SOLE 0 0 3655 PEPSICO INC COM 713448108 4900 35742 SH SOLE 0 0 35742 PFIZER INC COM 717081103 2254 62724 SH SOLE 0 0 62724 PHILIP MORRIS INTL INC COM 718172109 942 12410 SH SOLE 0 0 12410 PRICE T ROWE GROUP INC COM 74144T108 210 1840 SH SOLE 0 0 1840 PROCTER & GAMBLE CO COM 742718109 1239 9963 SH SOLE 0 0 9963 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 78 14775 SH SOLE 0 0 14775 QUALCOMM INC COM 747525103 379 4975 SH SOLE 0 0 4975 RAYTHEON CO COM NEW 755111507 388 1979 SH SOLE 0 0 1979 RENEWABLE ENERGY GROUP INC COM NEW 75972A301 150 10000 SH Call SOLE 10000 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 450 7647 SH SOLE 0 0 7647 RYANAIR HLDGS PLC SPONSORED ADS 783513203 4218 63540 SH SOLE 29205 0 34335 S&P GLOBAL INC COM 78409v104 245 1000 SH SOLE 0 0 1000 SANOFI SPONSORED ADR 80105N105 1604 34613 SH SOLE 0 0 34613 SCHLUMBERGER LTD COM 806857108 428 12512 SH SOLE 0 0 12512 SILICOM LTD ORD M84116108 8706 275515 SH SOLE 145349 0 130166 SINA CORP ORD G81477104 4118 105068 SH SOLE 16903 0 88165 SK TELECOM LTD SPONSORED ADR 78440P108 12962 583866 SH SOLE 196562 0 387304 SOLAR CAP LTD COM 83413U100 3317 160626 SH SOLE 0 0 160626 SONY CORP SPONSORED ADR 835699307 8441 142758 SH SOLE 52910 0 89848 SPDR GOLD TRUST GOLD SHS 78463V107 5052 36383 SH SOLE 1100 0 35283 SPDR S&P 500 ETF TR TR UNIT 78462F103 851 2867 SH SOLE 0 0 2867 SPIRIT AIRLS INC COM 848577102 14469 398596 SH SOLE 170282 0 228314 SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 6181 436233 SH SOLE 0 0 436233 SPROTT PHYSICAL GOLD TRUST UNIT 85207H104 47669 4032912 SH SOLE 1696075 0 2336837 SPROTT PHYSICAL SILVER TR TR UNIT 85207K107 105 16750 SH SOLE 0 0 16750 STARBUCKS CORP COM 855244109 2142 24220 SH SOLE 0 0 24220 STARWOOD PPTY TR INC COM 85571B105 1759 72610 SH SOLE 0 0 72610 STERICYCLE INC COM 858912108 694 13620 SH SOLE 0 0 13620 SUNCOR ENERGY INC NEW COM 867224107 6132 194166 SH SOLE 0 0 194166 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 2194 47195 SH SOLE 0 0 47195 TITAN INTL INC ILL COM 88830M102 148 55000 SH Call SOLE 55000 0 0 TITAN INTL INC ILL COM 88830M102 3205 1187057 SH SOLE 448156 0 738901 TOTAL S A SPONSORED ADS 89151E109 989 19025 SH SOLE 0 0 19025 UNION PACIFIC CORP COM 907818108 1338 8261 SH SOLE 0 0 8261 UNITED TECHNOLOGIES CORP COM 913017109 527 3858 SH SOLE 0 0 3858 US BANCORP DEL COM NEW 902973304 2150 38845 SH SOLE 0 0 38845 VANECK MERK GOLD TRUST GOLD TRUST 921078101 4671 323900 SH SOLE 179900 0 144000 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 1221 45715 SH SOLE 0 0 45715 VANGUARD GROUP DIV APP ETF 921908844 1108 9269 SH SOLE 0 0 9269 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 914 9805 SH SOLE 0 0 9805 VANGUARD INDEX FDS SM CP VAL ETF 922908611 233 1810 SH SOLE 0 0 1810 VANGUARD INDEX FDS SMALL CP ETF 922908751 210 1362 SH SOLE 0 0 1362 VANGUARD INDEX FDS TOTAL STK MKT 922908769 2957 19581 SH SOLE 0 0 19581 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 552 11065 SH SOLE 0 0 11065 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 4626 114912 SH SOLE 0 0 114912 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 2007 48858 SH SOLE 0 0 48858 VANGUARD WORLD FDS INF TECH ETF 92204A702 373 1731 SH SOLE 0 0 1731 VERIZON COMMUNICATIONS INC COM 92343V104 10657 176563 SH SOLE 0 0 176563 VERIZON COMMUNICATIONS INC COM 92343V104 513 8500 SH Call SOLE 0 0 8500 VISA INC COM CL A 92826C839 2337 13585 SH SOLE 0 0 13585 WALGREENS BOOTS ALLIANCE INC COM 931427108 669 12098 SH SOLE 0 0 12098 WALMART INC COM 931142103 2666 22460 SH SOLE 0 0 22460 WEIBO CORP SPONSORED ADR 948596101 15601 348620 SH SOLE 203000 0 145620 WELLS FARGO CO NEW COM 949746101 223 4416 SH SOLE 0 0 4416 WEYERHAEUSER CO COM 962166104 576 20788 SH SOLE 0 0 20788 WILLIS TOWERS WATSON PUB LTD SHS G96629103 1941 10057 SH SOLE 0 0 10057 ZEBRA TECHNOLOGIES CORP CL A 989207105 1218 5900 SH SOLE 0 0 5900