Chief Compliance Officer

0001085146-20-000609.txt : 20200212 0001085146-20-000609.hdr.sgml : 20200212 20200212130835 ACCESSION NUMBER: 0001085146-20-000609 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200212 DATE AS OF CHANGE: 20200212 EFFECTIVENESS DATE: 20200212 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: 20602953 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 12-31-2019 12-31-2019 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 02-11-2020 0 211 581981 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE ABBOTT LABS COM 002824100 1629 18754 SH SOLE 0 0 18754 ABBVIE INC COM 00287Y109 3388 38269 SH SOLE 0 0 38269 ABERDEEN STD GOLD ETF TR PHYSCL GOLD SHS 00326A104 1092 74670 SH SOLE 0 0 74670 ADAM NAT RES FD INC COM 00548F105 491 29825 SH SOLE 0 0 29825 AERCAP HOLDINGS NV SHS N00985106 440 7165 SH SOLE 0 0 7165 AGNC INVT CORP COM 00123Q104 1626 91980 SH SOLE 0 0 91980 AGNICO EAGLE MINES LTD COM 008474108 949 15400 SH SOLE 0 0 15400 AIR LEASE CORP CL A 00912X302 14035 295356 SH SOLE 82650 0 212706 ALCON INC ORD SHS H01301128 634 11203 SH SOLE 0 0 11203 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 1361 6419 SH SOLE 0 0 6419 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 106 500 SH Call SOLE 0 0 500 ALLIANCE RES PARTNER L P UT LTD PART 01877R108 246 22765 SH SOLE 0 0 22765 ALLSTATE CORP COM 020002101 430 3826 SH SOLE 0 0 3826 ALPHABET INC CAP STK CL A 02079K305 7111 5309 SH SOLE 0 0 5309 ALPHABET INC CAP STK CL C 02079K107 6932 5185 SH SOLE 0 0 5185 ALPS ETF TR ALERIAN MLP 00162Q866 612 71970 SH SOLE 0 0 71970 ALTRIA GROUP INC COM 02209S103 2459 49267 SH SOLE 0 0 49267 AMAZON COM INC COM 023135106 4357 2358 SH SOLE 0 0 2358 AMERICAN ELEC PWR CO INC COM 025537101 909 9618 SH SOLE 0 0 9618 AMERICAN EXPRESS CO COM 025816109 329 2639 SH SOLE 0 0 2639 ANNALY CAP MGMT INC COM 035710409 9366 994320 SH SOLE 800000 0 194320 AON PLC SHS CL A G0408V102 3194 15334 SH SOLE 0 0 15334 APPLE INC COM 037833100 8670 29526 SH SOLE 0 0 29526 ARDELYX INC COM 039697107 15930 2122592 SH SOLE 1498540 0 624052 ARES CAP CORP COM 04010L103 1956 104860 SH SOLE 0 0 104860 AT&T INC COM 00206R102 1011 25876 SH SOLE 0 0 25876 AT&T INC COM 00206R102 117 3000 SH Call SOLE 0 0 3000 AUTOMATIC DATA PROCESSING IN COM 053015103 703 4126 SH SOLE 0 0 4126 BANK AMER CORP COM 060505104 710 20160 SH SOLE 0 0 20160 BANK NEW YORK MELLON CORP COM 064058100 2897 57557 SH SOLE 0 0 57557 BAXTER INTL INC COM 071813109 691 8267 SH SOLE 0 0 8267 BERKSHIRE HATHAWAY INC DEL CL A 084670108 340 1 SH SOLE 0 0 1 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 9804 43283 SH SOLE 0 0 43283 BIOGEN INC COM 09062X103 310 1046 SH SOLE 0 0 1046 BLACKROCK INC COM 09247X101 315 626 SH SOLE 0 0 626 BLACKSTONE GROUP INC COM CL A 09260D107 3599 64342 SH SOLE 0 0 64342 BLACKSTONE MTG TR INC COM CL A 09257W100 5742 154264 SH SOLE 0 0 154264 BOEING CO COM 097023105 347 1065 SH SOLE 0 0 1065 BOOKING HLDGS INC COM 09857L108 717 349 SH SOLE 0 0 349 BP PLC SPONSORED ADR 055622104 5955 157798 SH SOLE 0 0 157798 BRIGHTHOUSE FINL INC COM 10922N103 2119 54021 SH SOLE 0 0 54021 BRISTOL MYERS SQUIBB CO COM 110122108 3194 49756 SH SOLE 0 0 49756 BROADCOM INC COM 11135F101 411 1300 SH SOLE 0 0 1300 CAMBRIA ETF TR GLOBAL VALUE ETF 132061409 5609 234581 SH SOLE 0 0 234581 CAMECO CORP COM 13321L108 140 15754 SH SOLE 0 0 15754 CANADIAN NATL RY CO COM 136375102 2708 29941 SH SOLE 0 0 29941 CBOE GLOBAL MARKETS INC COM 12503M108 668 5565 SH SOLE 0 0 5565 CENTENE CORP DEL COM 15135B101 1741 27688 SH SOLE 0 0 27688 CF INDS HLDGS INC COM 125269100 716 15000 SH SOLE 0 0 15000 CHARTER COMMUNICATIONS INC N CL A 16119P108 430 887 SH SOLE 0 0 887 CHEVRON CORP NEW COM 166764100 2079 17255 SH SOLE 0 0 17255 CHINA MOBILE LIMITED SPONSORED ADR 16941M109 14568 344633 SH SOLE 201075 0 143558 CHINA TELECOM CORP LTD SPON ADR H SHS 169426103 390 9470 SH SOLE 0 0 9470 CHUBB LIMITED COM H1467J104 951 6112 SH SOLE 0 0 6112 CINEDIGM CORP COM NEW 172406209 9 13345 SH SOLE 13345 0 0 CISCO SYS INC COM 17275R102 308 6414 SH SOLE 0 0 6414 CITIZENS FINL GROUP INC COM 174610105 1659 40850 SH SOLE 0 0 40850 CME GROUP INC COM 12572Q105 2409 12003 SH SOLE 0 0 12003 COCA COLA CO COM 191216100 920 16614 SH SOLE 0 0 16614 COHEN & STEERS INFRASTRUCTUR COM 19248A109 536 20455 SH SOLE 0 0 20455 COHERENT INC COM 192479103 3248 19524 SH SOLE 4533 0 14991 COMCAST CORP NEW CL A 20030N101 321 7140 SH SOLE 0 0 7140 CONOCOPHILLIPS COM 20825C104 679 10436 SH SOLE 0 0 10436 COSTCO WHSL CORP NEW COM 22160K105 247 840 SH SOLE 0 0 840 CRITEO S A SPONS ADS 226718104 13527 780527 SH SOLE 401371 0 379156 CVS HEALTH CORP COM 126650100 1214 16338 SH SOLE 0 0 16338 DANAHER CORPORATION COM 235851102 773 5036 SH SOLE 0 0 5036 DESPEGAR COM CORP ORD SHS G27358103 5876 435931 SH SOLE 268024 0 167907 DIAGEO P L C SPON ADR NEW 25243Q205 472 2803 SH SOLE 0 0 2803 DISNEY WALT CO COM DISNEY 254687106 1534 10605 SH SOLE 0 0 10605 DOMINION ENERGY INC COM 25746U109 265 3204 SH SOLE 0 0 3204 DOW INC COM 260557103 280 5113 SH SOLE 0 0 5113 DUPONT DE NEMOURS INC COM 26614N102 232 3613 SH SOLE 0 0 3613 DYADIC INTL INC DEL COM 26745T101 276 53350 SH SOLE 0 0 53350 EATON CORP PLC SHS G29183103 1828 19302 SH SOLE 0 0 19302 EMBRAER S A SPONSORED ADS 29082A107 14351 736318 SH SOLE 310536 0 425782 EMERSON ELEC CO COM 291011104 1161 15229 SH SOLE 0 0 15229 ENBRIDGE INC COM 29250N105 842 21181 SH SOLE 0 0 21181 ENTERPRISE PRODS PARTNERS L COM 293792107 2571 91286 SH SOLE 0 0 91286 EXACT SCIENCES CORP COM 30063P105 370 4000 SH SOLE 0 0 4000 EXELON CORP COM 30161N101 6182 135601 SH SOLE 0 0 135601 EXXON MOBIL CORP COM 30231G102 6219 89126 SH SOLE 0 0 89126 FACEBOOK INC CL A 30303M102 671 3267 SH SOLE 0 0 3267 FEDEX CORP COM 31428X106 1789 11833 SH SOLE 0 0 11833 FRANCO NEVADA CORP COM 351858105 228 2205 SH SOLE 0 0 2205 GABELLI EQUITY TR INC COM 362397101 140 23043 SH SOLE 0 0 23043 GENERAL DYNAMICS CORP COM 369550108 705 4000 SH SOLE 0 0 4000 GENERAL ELECTRIC CO COM 369604103 112 10040 SH SOLE 0 0 10040 GENERAL MTRS CO COM 37045V100 275 7518 SH SOLE 0 0 7518 GILEAD SCIENCES INC COM 375558103 630 9690 SH SOLE 0 0 9690 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 235 4996 SH SOLE 0 0 4996 GOLDMAN SACHS GROUP INC COM 38141G104 468 2034 SH SOLE 0 0 2034 GOLUB CAP BDC INC COM 38173M102 2629 142474 SH SOLE 0 0 142474 HANNON ARMSTRONG SUST INFR C COM 41068X100 228 7070 SH SOLE 0 0 7070 HELMERICH & PAYNE INC COM 423452101 202 4455 SH SOLE 0 0 4455 HERON THERAPEUTICS INC COM 427746102 11514 489960 SH SOLE 275482 0 214478 HOME DEPOT INC COM 437076102 571 2616 SH SOLE 0 0 2616 HUDSON TECHNOLOGIES INC COM 444144109 1912 1956480 SH SOLE 1092099 0 864381 IDEX CORP COM 45167R104 387 2250 SH SOLE 0 0 2250 ILLINOIS TOOL WKS INC COM 452308109 343 1908 SH SOLE 0 0 1908 INTEL CORP COM 458140100 256 4277 SH SOLE 0 0 4277 INTERNATIONAL BUSINESS MACHS COM 459200101 809 6035 SH SOLE 0 0 6035 INVESCO EXCHNG TRADED FD TR SR LN ETF 46138G508 0 50000 SH Call SOLE 50000 0 0 INVESCO EXCHNG TRADED FD TR SR LN ETF 46138G508 0 10000 SH Put SOLE 10000 0 0 ISHARES GOLD TRUST ISHARES 464285105 1962 135278 SH SOLE 0 0 135278 ISHARES SILVER TRUST ISHARES 46428Q109 183 10950 SH SOLE 0 0 10950 ISHARES TR CORE S&P500 ETF 464287200 714 2210 SH SOLE 0 0 2210 ISHARES TR MSCI EMG MKT ETF 464287234 670 14923 SH SOLE 0 0 14923 JD COM INC SPON ADR CL A 47215P106 215 6100 SH SOLE 0 0 6100 JOHNSON & JOHNSON COM 478160104 5046 34594 SH SOLE 0 0 34594 JONES LANG LASALLE INC COM 48020Q107 18558 106602 SH SOLE 40665 0 65937 JPMORGAN CHASE & CO COM 46625H100 3308 23733 SH SOLE 0 0 23733 KINDER MORGAN INC DEL COM 49456B101 431 20370 SH SOLE 0 0 20370 KIRKLAND LAKE GOLD LTD COM 49741E100 435 9850 SH SOLE 0 0 9850 LIBERTY BROADBAND CORP COM SER C 530307305 214 1700 SH SOLE 0 0 1700 LINDE PLC SHS G5494J103 231 1086 SH SOLE 0 0 1086 MACQUARIE INFRASTRUCTURE COR COM 55608B105 588 13730 SH SOLE 0 0 13730 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 3180 50575 SH SOLE 0 0 50575 MANULIFE FINL CORP COM 56501R106 246 12124 SH SOLE 0 0 12124 MASTERCARD INC CL A 57636Q104 231 775 SH SOLE 0 0 775 MCDONALDS CORP COM 580135101 1550 7844 SH SOLE 0 0 7844 MCKESSON CORP COM 58155Q103 362 2620 SH SOLE 0 0 2620 MEDTRONIC PLC SHS G5960L103 802 7073 SH SOLE 0 0 7073 MEDTRONIC PLC SHS G5960L103 57 500 SH Call SOLE 0 0 500 MERCK & CO INC COM 58933Y105 5491 60372 SH SOLE 0 0 60372 MFA FINL INC COM 55272X102 78 10250 SH SOLE 0 0 10250 MICROCHIP TECHNOLOGY INC COM 595017104 209 2000 SH SOLE 0 0 2000 MICROSOFT CORP COM 594918104 7222 45798 SH SOLE 0 0 45798 MKS INSTRUMENT INC COM 55306N104 220 2000 SH SOLE 0 0 2000 MONMOUTH REAL ESTATE INVT CO CL A 609720107 164 11340 SH SOLE 0 0 11340 MORNINGSTAR INC COM 617700109 383 2534 SH SOLE 0 0 2534 MOSAIC CO NEW COM 61945C103 12896 595955 SH SOLE 348779 0 247176 NEWMONT GOLDCORP CORPORATION COM 651639106 391 8998 SH SOLE 0 0 8998 NEXTERA ENERGY INC COM 65339F101 757 3128 SH SOLE 0 0 3128 NIKE INC CL B 654106103 575 5676 SH SOLE 0 0 5676 NOKIA CORP SPONSORED ADR 654902204 37 10091 SH SOLE 0 0 10091 NORTHROP GRUMMAN CORP COM 666807102 206 600 SH SOLE 0 0 600 NOVARTIS A G SPONSORED ADR 66987V109 6743 71216 SH SOLE 0 0 71216 NUTRIEN LTD COM 67077M108 301 6268 SH SOLE 0 0 6268 NUVEEN CR STRATEGIES INCM FD COM SHS 67073D102 221 28824 SH SOLE 0 0 28824 NUVEEN DIVERSIFIED DIV INCM COM 6706EP105 136 12475 SH SOLE 0 0 12475 PAN AMERICAN SILVER CORP COM 697900108 639 26969 SH SOLE 0 0 26969 PARK HOTELS RESORTS INC COM 700517105 1257 48575 SH SOLE 0 0 48575 PAYCHEX INC COM 704326107 255 2993 SH SOLE 0 0 2993 PAYPAL HLDGS INC COM 70450Y103 494 4570 SH SOLE 0 0 4570 PEPSICO INC COM 713448108 4818 35250 SH SOLE 0 0 35250 PERTH MINT PHYSICAL GOLD ETF UNIT 715426102 286 18900 SH SOLE 0 0 18900 PFIZER INC COM 717081103 2451 62549 SH SOLE 0 0 62549 PHILIP MORRIS INTL INC COM 718172109 1831 21520 SH SOLE 0 0 21520 PRICE T ROWE GROUP INC COM 74144T108 224 1840 SH SOLE 0 0 1840 PROCTER & GAMBLE CO COM 742718109 1232 9863 SH SOLE 0 0 9863 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 313 57660 SH SOLE 0 0 57660 QUALCOMM INC COM 747525103 351 3975 SH SOLE 0 0 3975 RAYTHEON CO COM NEW 755111507 435 1979 SH SOLE 0 0 1979 REDWOOD TR INC COM 758075402 496 30015 SH SOLE 0 0 30015 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 386 6538 SH SOLE 0 0 6538 RYANAIR HLDGS PLC SPONSORED ADS 783513203 5519 62994 SH SOLE 29205 0 33789 S&P GLOBAL INC COM 78409v104 273 1000 SH SOLE 0 0 1000 SANOFI SPONSORED ADR 80105N105 1612 32113 SH SOLE 0 0 32113 SCHLUMBERGER LTD COM 806857108 501 12472 SH SOLE 0 0 12472 SCHWAB STRATEGIC TR SCHWB FDT EMK LG 808524730 1163 38976 SH SOLE 0 0 38976 SILICOM LTD ORD M84116108 9757 293366 SH SOLE 159473 0 133893 SINA CORP ORD G81477104 4100 102688 SH SOLE 38903 0 63785 SK TELECOM LTD SPONSORED ADR 78440P108 16209 701384 SH SOLE 323363 0 378021 SOLAR CAP LTD COM 83413U100 3263 158222 SH SOLE 0 0 158222 SONY CORP SPONSORED ADR 835699307 13081 192364 SH SOLE 104035 0 88329 SPDR GOLD TRUST GOLD SHS 78463V107 5044 35296 SH SOLE 1150 0 34146 SPDR S&P 500 ETF TR TR UNIT 78462F103 923 2868 SH SOLE 0 0 2868 SPDR S&P 500 ETF TR TR UNIT 78462F103 36836 2600000 SH Call SOLE 2600000 0 0 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 308 13000 SH SOLE 0 0 13000 SPIRIT AIRLS INC COM 848577102 18207 451673 SH SOLE 193477 0 258196 SPROTT ETF TR GOLD MINERS ETF 85210B102 758 30150 SH SOLE 0 0 30150 SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 6399 436473 SH SOLE 0 0 436473 SPROTT PHYSICAL GOLD TRUST UNIT 85207H104 36759 3017944 SH SOLE 616793 0 2401151 SPROTT PHYSICAL SILVER TR TR UNIT 85207K107 93 14250 SH SOLE 0 0 14250 STARBUCKS CORP COM 855244109 2045 23265 SH SOLE 0 0 23265 STARWOOD PPTY TR INC COM 85571B105 1875 75425 SH SOLE 0 0 75425 STERICYCLE INC COM 858912108 592 9270 SH SOLE 0 0 9270 SUNCOR ENERGY INC NEW COM 867224107 6967 212406 SH SOLE 0 0 212406 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 2401 41330 SH SOLE 0 0 41330 TITAN INTL INC ILL COM 88830M102 3443 951044 SH SOLE 438156 0 512888 TITAN INTL INC ILL COM 88830M102 199 55000 SH Call SOLE 55000 0 0 TOTAL S A SPONSORED ADS 89151E109 1030 18620 SH SOLE 0 0 18620 ULTA BEAUTY INC COM 90384S303 430 1700 SH SOLE 0 0 1700 UNION PACIFIC CORP COM 907818108 1467 8116 SH SOLE 0 0 8116 UNITED TECHNOLOGIES CORP COM 913017109 578 3858 SH SOLE 0 0 3858 US BANCORP DEL COM NEW 902973304 2244 37845 SH SOLE 0 0 37845 VALERO ENERGY CORP NEW COM 91913Y100 206 2200 SH SOLE 0 0 2200 VANECK MERK GOLD TRUST GOLD TRUST 921078101 2635 177468 SH SOLE 41968 0 135500 VANECK VECTORS ETF TRUST GOLD MINERS ETF 92189F106 1743 59525 SH SOLE 0 0 59525 VANECK VECTORS ETF TRUST JR GOLD MINERS E 92189F791 480 11350 SH SOLE 0 0 11350 VANGUARD GROUP DIV APP ETF 921908844 1519 12189 SH SOLE 0 0 12189 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 1010 10890 SH SOLE 0 0 10890 VANGUARD INDEX FDS SM CP VAL ETF 922908611 706 5150 SH SOLE 0 0 5150 VANGUARD INDEX FDS SMALL CP ETF 922908751 226 1362 SH SOLE 0 0 1362 VANGUARD INDEX FDS TOTAL STK MKT 922908769 3148 19241 SH SOLE 0 0 19241 VANGUARD INDEX FDS VALUE ETF 922908744 235 1963 SH SOLE 0 0 1963 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 697 12962 SH SOLE 0 0 12962 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 5068 113969 SH SOLE 0 0 113969 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 2183 49548 SH SOLE 0 0 49548 VANGUARD WORLD FDS INF TECH ETF 92204A702 435 1776 SH SOLE 0 0 1776 VERIZON COMMUNICATIONS INC COM 92343V104 10527 171457 SH SOLE 0 0 171457 VISA INC COM CL A 92826C839 2751 14640 SH SOLE 0 0 14640 VOYA FINL INC COM 929089100 210 3450 SH SOLE 0 0 3450 WALGREENS BOOTS ALLIANCE INC COM 931427108 713 12098 SH SOLE 0 0 12098 WALMART INC COM 931142103 2657 22360 SH SOLE 0 0 22360 WEIBO CORP SPONSORED ADR 948596101 16442 354746 SH SOLE 202000 0 152746 WELLS FARGO CO NEW COM 949746101 814 15126 SH SOLE 0 0 15126 WEYERHAEUSER CO COM 962166104 610 20188 SH SOLE 0 0 20188 WILLIS TOWERS WATSON PUB LTD SHS G96629103 1906 9440 SH SOLE 0 0 9440 ZEBRA TECHNOLOGIES CORP CL A 989207105 856 3350 SH SOLE 0 0 3350