Chief Compliance Officer

0001085146-21-003158.txt : 20211112 0001085146-21-003158.hdr.sgml : 20211112 20211112102552 ACCESSION NUMBER: 0001085146-21-003158 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210930 FILED AS OF DATE: 20211112 DATE AS OF CHANGE: 20211112 EFFECTIVENESS DATE: 20211112 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: 211401092 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 09-30-2021 09-30-2021 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 11-11-2021 0 335 700907 false INFORMATION TABLE 2 infotable.xml INFORMATION TABLE 89BIO INC COM 282559103 3623 184932 SH SOLE 85000 0 99932 ABBOTT LABS COM 002824100 1908 16152 SH SOLE 0 0 16152 ABBVIE INC COM 00287Y109 4220 39123 SH SOLE 0 0 39123 ABERDEEN STD GOLD ETF TR PHYSCL GOLD SHS 00326A104 1739 103180 SH SOLE 0 0 103180 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 293 915 SH SOLE 0 0 915 ADVISORSHARES TR PURE US CANNABIS 00768Y453 937 29690 SH SOLE 0 0 29690 AERCAP HOLDINGS NV SHS N00985106 11403 197249 SH SOLE 80000 0 117249 AGNC INVT CORP COM 00123Q104 2939 186374 SH SOLE 0 0 186374 AGNICO EAGLE MINES LTD COM 008474108 1167 22507 SH SOLE 0 0 22507 AIR LEASE CORP CL A 00912X302 369 9377 SH SOLE 0 0 9377 AIR PRODS & CHEMS INC COM 009158106 202 790 SH SOLE 0 0 790 ALAMOS GOLD INC NEW COM CL A 011532108 824 114625 SH SOLE 0 0 114625 ALCON AG ORD SHS H01301128 378 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INC COM 192479103 4158 16625 SH SOLE 8000 0 8625 COMCAST CORP NEW CL A 20030N101 1309 23406 SH SOLE 0 0 23406 COMPASS PATHWAYS PLC SPONSORED ADS 20451W101 439 14700 SH SOLE 0 0 14700 CONOCOPHILLIPS COM 20825C104 758 11186 SH SOLE 0 0 11186 CONTEXTLOGIC INC COM CL A 21077C107 55 10000 SH SOLE 0 0 10000 COSTCO WHSL CORP NEW COM 22160K105 272 605 SH SOLE 0 0 605 CREDIT SUISSE GROUP SPONSORED ADR 225401108 4542 460600 SH SOLE 0 0 460600 CUMMINS INC COM 231021106 225 1001 SH SOLE 0 0 1001 CVS HEALTH CORP COM 126650100 1809 21315 SH SOLE 0 0 21315 DENISON MINES CORP COM 248356107 40 26900 SH SOLE 0 0 26900 DESIGNER BRANDS INC CL A 250565108 459 32935 SH SOLE 0 0 32935 DEVON ENERGY CORP NEW COM 25179M103 3336 93940 SH SOLE 0 0 93940 DIAGEO PLC SPON ADR NEW 25243Q205 934 4838 SH SOLE 0 0 4838 DOLLAR TREE INC COM 256746108 5869 61317 SH SOLE 30000 0 31317 DOMINION ENERGY INC COM 25746U109 233 3194 SH SOLE 0 0 3194 DRAFTKINGS INC COM CL A 26142R104 571 11865 SH SOLE 0 0 11865 DROPBOX INC CL A 26210C104 292 10000 SH SOLE 0 0 10000 DYADIC INTL INC DEL COM 26745T101 297 53350 SH SOLE 0 0 53350 EATON CORP PLC SHS G29183103 2135 14301 SH SOLE 0 0 14301 EATON VANCE LTD DURATION INC COM 27828H105 210 15955 SH SOLE 0 0 15955 EMBRAER S.A. SPONSORED ADS 29082A107 356 20925 SH SOLE 0 0 20925 EMERSON ELEC CO COM 291011104 973 10326 SH SOLE 0 0 10326 ENBRIDGE INC COM 29250N105 947 23769 SH SOLE 0 0 23769 ENTERPRISE PRODS PARTNERS L COM 293792107 1042 48149 SH SOLE 0 0 48149 EOG RES INC COM 26875P101 3620 45099 SH SOLE 0 0 45099 EQUITY RESIDENTIAL SH BEN INT 29476L107 3071 37954 SH SOLE 0 0 37954 ETF MANAGERS TR BLUESTAR ISRAEL 26924G870 723 10970 SH SOLE 0 0 10970 ETF MANAGERS TR ETFMG ALTR HRVST 26924G508 1081 75095 SH SOLE 0 0 75095 ETF MANAGERS TR PRIME JUNIR SLVR 26924G102 1242 105157 SH SOLE 0 0 105157 ETF MANAGERS TR PRIME MOBILE PAY 26924G409 1718 25395 SH SOLE 0 0 25395 EVERCORE INC CLASS A 29977A105 4305 32209 SH SOLE 12000 0 20209 EXELON CORP COM 30161N101 5523 114254 SH SOLE 0 0 114254 EXXON MOBIL CORP COM 30231G102 13470 228996 SH SOLE 0 0 228996 FACEBOOK INC CL A 30303M102 7916 23324 SH SOLE 7000 0 16324 FEDEX CORP COM 31428X106 1404 6401 SH SOLE 0 0 6401 FIREEYE INC NOTE 1.625% 6/0 31816QAD3 524 525000 PRN SOLE 0 0 525000 FIRST MAJESTIC SILVER CORP COM 32076V103 123 10850 SH SOLE 0 0 10850 FIRST TR EXCHANGE TRADED FD NASDAQ CYB ETF 33734X846 2869 58891 SH SOLE 0 0 58891 FLEXSHARES TR MORNSTAR UPSTR 33939L407 1442 39387 SH SOLE 0 0 39387 FORTUNA SILVER MINES INC COM 349915108 183 46475 SH SOLE 0 0 46475 FRANCO NEV CORP COM 351858105 2690 20706 SH SOLE 0 0 20706 FREEPORT-MCMORAN INC CL B 35671D857 1390 42715 SH SOLE 0 0 42715 GABELLI EQUITY TR INC COM 362397101 170 25615 SH SOLE 0 0 25615 GAUCHO GROUP HLDGS INC COM NEW 36809R206 135 44065 SH SOLE 0 0 44065 GENCO SHIPPING & TRADING LTD SHS Y2685T131 1292 64200 SH SOLE 0 0 64200 GENERAL DYNAMICS CORP COM 369550108 491 2505 SH SOLE 0 0 2505 GILEAD SCIENCES INC COM 375558103 618 8850 SH SOLE 0 0 8850 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 315 8236 SH SOLE 0 0 8236 GLOBAL X FDS AUTONMOUS EV ETF 37954Y624 230 8400 SH SOLE 0 0 8400 GLOBAL X FDS GBL X FTSE ETF 37950E648 149 10315 SH SOLE 0 0 10315 GLOBAL X FDS GLOBAL X COPPER 37954Y830 506 14790 SH SOLE 0 0 14790 GLOBAL X FDS GLOBAL X SILVER 37954Y848 2515 71684 SH SOLE 0 0 71684 GLOBAL X FDS LITHIUM BTRY ETF 37954Y855 1775 21655 SH SOLE 0 0 21655 GLOBAL X FDS RBTCS ARTFL INTE 37954Y715 304 8315 SH SOLE 0 0 8315 GLOBALSTAR INC COM 378973408 17 10000 SH SOLE 0 0 10000 GOLUB CAP BDC INC COM 38173M102 1306 82616 SH SOLE 0 0 82616 GRAND CANYON ED INC COM 38526M106 3230 36726 SH SOLE 0 0 36726 HECLA MNG CO COM 422704106 227 41275 SH SOLE 0 0 41275 HERBALIFE NUTRITION LTD COM SHS G4412G101 8690 205051 SH SOLE 77000 0 128051 HERBALIFE NUTRITION LTD NOTE 2.625% 3/1 42703MAD5 2275 2250000 PRN SOLE 2250000 0 0 HERON THERAPEUTICS INC COM 427746102 4740 443385 SH SOLE 200000 0 243385 HIGHLAND INCOME FD HIGHLAND INCOME 43010E404 295 27424 SH SOLE 0 0 27424 HOME DEPOT INC COM 437076102 1035 3154 SH SOLE 0 0 3154 HUDSON TECHNOLOGIES INC COM 444144109 88 25000 SH SOLE 0 0 25000 IDEX CORP COM 45167R104 466 2250 SH SOLE 0 0 2250 ILLINOIS TOOL WKS INC COM 452308109 284 1374 SH SOLE 0 0 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46429B655 266 5240 SH SOLE 0 0 5240 ISHARES TR GL CLEAN ENE ETF 464288224 242 11200 SH SOLE 0 0 11200 ISHARES TR ISHARES BIOTECH 464287556 857 5300 SH SOLE 0 0 5300 ISHARES TR ISHARES SEMICDTR 464287523 488 1095 SH SOLE 0 0 1095 ISHARES TR ISHS 1-5YR INVS 464288646 839 15350 SH SOLE 0 0 15350 ISHARES TR MSCI AC ASIA ETF 464288182 506 5962 SH SOLE 0 0 5962 ISHARES TR MSCI EMG MKT ETF 464287234 246 4873 SH SOLE 0 0 4873 ISHARES TR MSCI EURO FL ETF 464289180 1434 73100 SH SOLE 0 0 73100 ISHARES TR MSCI INDIA ETF 46429B598 1555 31935 SH SOLE 0 0 31935 ISHARES TR PFD AND INCM SEC 464288687 3028 78033 SH SOLE 0 0 78033 ISHARES TR RUSSELL 2000 ETF 464287655 596 2722 SH SOLE 0 0 2722 ISHARES TR TIPS BD ETF 464287176 1305 10219 SH SOLE 0 0 10219 ITURAN LOCATION AND CONTROL SHS M6158M104 6562 258435 SH SOLE 103000 0 155435 JAPAN SMALLER CAPITALIZATION COM 47109U104 2311 255405 SH SOLE 0 0 255405 JOHNSON & JOHNSON COM 478160104 5283 32711 SH SOLE 0 0 32711 JPMORGAN CHASE & CO COM 46625H100 4089 24979 SH SOLE 0 0 24979 JUPITER WELLNESS INC COM NEW 48208F105 63 45031 SH SOLE 0 0 45031 KIMBALL INTL INC CL B 494274103 252 22465 SH SOLE 0 0 22465 KIRKLAND LAKE GOLD LTD COM 49741E100 1036 24864 SH SOLE 0 0 24864 KRANESHARES TR CSI CHI INTERNET 500767306 379 8000 SH Call SOLE 0 0 8000 KRANESHARES TR GLOBAL CARBON 500767678 7831 190570 SH SOLE 45000 0 145570 KRANESHARES TR QUADRTC INT RT 500767736 10488 376321 SH SOLE 0 0 376321 LAM RESEARCH CORP COM 512807108 393 690 SH SOLE 0 0 690 LENNAR CORP CL A 526057104 330 3520 SH SOLE 0 0 3520 LIBERTY BROADBAND CORP COM SER C 530307305 294 1700 SH SOLE 0 0 1700 LILLY ELI & CO COM 532457108 255 1102 SH SOLE 0 0 1102 LINDE PLC SHS G5494J103 257 876 SH SOLE 0 0 876 LISTED FD TR HORIZON KINETICS 53656F623 4410 151030 SH SOLE 0 0 151030 LISTED FD TR ROUNDHILL SPORTS 53656F789 1472 48950 SH SOLE 0 0 48950 LOCKHEED MARTIN CORP COM 539830109 2246 6509 SH SOLE 0 0 6509 LUMENTUM HLDGS INC COM 55024U109 3367 40310 SH SOLE 0 0 40310 LUMENTUM HLDGS INC NOTE 0.250% 3/1 55024UAB5 2568 1750000 PRN SOLE 1750000 0 0 LUMENTUM HLDGS INC NOTE 0.500%12/1 55024UAD1 1373 1250000 PRN SOLE 1250000 0 0 MACQUARIE INFRASTR HOLD LLC COMMON UNITS 55608B105 382 9430 SH SOLE 0 0 9430 MAG SILVER CORP COM 55903Q104 431 26625 SH SOLE 0 0 26625 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 558 12245 SH SOLE 0 0 12245 MANULIFE FINL CORP COM 56501R106 214 11124 SH SOLE 0 0 11124 MARATHON DIGITAL HOLDINGS IN COM 565788106 448 14200 SH SOLE 0 0 14200 MARTIN MARIETTA MATLS INC COM 573284106 227 665 SH SOLE 0 0 665 MASTERCARD INCORPORATED CL A 57636Q104 266 765 SH SOLE 0 0 765 MATCH GROUP INC NEW COM 57667L107 214 1361 SH SOLE 0 0 1361 MCDONALDS CORP COM 580135101 2472 10253 SH SOLE 0 0 10253 MEDTRONIC PLC SHS G5960L103 906 7228 SH SOLE 0 0 7228 MERCK & CO INC COM 58933Y105 4757 63327 SH SOLE 0 0 63327 MFS INTER INCOME TR SH BEN INT 55273C107 173 47700 SH SOLE 0 0 47700 MICRON TECHNOLOGY INC COM 595112103 2949 41550 SH SOLE 0 0 41550 MICROSOFT CORP COM 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SECTOR SPDR TR ENERGY 81369Y506 2918 56011 SH SOLE 0 0 56011 SELECT SECTOR SPDR TR FINANCIAL 81369Y605 712 18973 SH SOLE 0 0 18973 SELECT SECTOR SPDR TR RL EST SEL SEC 81369Y860 438 9860 SH SOLE 0 0 9860 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 267 2095 SH SOLE 0 0 2095 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 1245 15743 SH SOLE 0 0 15743 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 321 2151 SH SOLE 0 0 2151 SIBANYE STILLWATER LTD SPONSORED ADR 82575P107 169 13665 SH SOLE 0 0 13665 SILICOM LTD ORD M84116108 497 11501 SH SOLE 0 0 11501 SILVERCREST METALS INC COM 828363101 234 33500 SH SOLE 0 0 33500 SILVERGATE CAP CORP CL A 82837P408 456 3945 SH SOLE 0 0 3945 SIMON PPTY GROUP INC NEW COM 828806109 5148 39610 SH SOLE 18000 0 21610 SIMPLIFY EXCHANGE TRADED FUN SIMPLIFY INTERST 82889N855 4633 113910 SH SOLE 25000 0 88910 SK TELECOM LTD SPONSORED ADR 78440P108 13409 445496 SH SOLE 140000 0 305496 SLR INVESTMENT CORP COM 83413U100 1807 94465 SH SOLE 0 0 94465 SONY GROUP CORPORATION SPONSORED ADR 835699307 10779 97473 SH SOLE 30000 0 67473 SPDR GOLD TR GOLD SHS 78463V107 31 190 SH SOLE 0 0 190 SPDR GOLD TR GOLD SHS 78463V107 1642 10000 SH Call SOLE 0 0 10000 SPDR INDEX SHS FDS EURO STOXX 50 78463X202 956 21115 SH SOLE 0 0 21115 SPDR S&P 500 ETF TR TR UNIT 78462F103 1511 3521 SH SOLE 0 0 3521 SPDR SER TR BLOMBERG BRC INV 78468R200 474 15470 SH SOLE 0 0 15470 SPDR SER TR S&P METALS MNG 78464A755 1262 30245 SH SOLE 0 0 30245 SPDR SER TR S&P OILGAS EXP 78468R556 237 2450 SH SOLE 0 0 2450 SPDR SER TR S&P OILGAS EXP 78468R556 580 6000 SH Call SOLE 0 0 6000 SPIRIT AIRLS INC COM 848577102 932 35920 SH SOLE 0 0 35920 SPIRIT AIRLS INC NOTE 4.750% 5/1 848577AA0 7072 3126000 PRN SOLE 1800000 0 1326000 SPROTT ETF TRUST GOLD MINERS ETF 85210B102 1757 70745 SH SOLE 0 0 70745 SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 5117 298742 SH SOLE 0 0 298742 SPROTT PHYSICAL GOLD TR UNIT 85207H104 51559 3736161 SH SOLE 510000 0 3226161 SPROTT PHYSICAL PLAT PALLAD UNIT 85207Q104 650 45360 SH SOLE 0 0 45360 SPROTT PHYSICAL SILVER TR TR UNIT 85207K107 3192 415675 SH SOLE 0 0 415675 SPROUTS FMRS MKT INC COM 85208M102 10441 450633 SH SOLE 210000 0 240633 SQUARE INC CL A 852234103 552 2300 SH SOLE 0 0 2300 STARBUCKS CORP COM 855244109 2488 22553 SH SOLE 0 0 22553 SUNCOR ENERGY INC NEW COM 867224107 6716 323806 SH SOLE 0 0 323806 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 2344 20995 SH SOLE 0 0 20995 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 167 1500 SH Call SOLE 0 0 1500 TECK RESOURCES LTD CL B 878742204 2397 96245 SH SOLE 0 0 96245 TELEFONICA BRASIL SA NEW ADR 87936R205 140 18000 SH SOLE 0 0 18000 TEMPLETON GLOBAL INCOME FD COM 880198106 4111 764113 SH SOLE 0 0 764113 TESLA INC COM 88160R101 358 462 SH SOLE 0 0 462 TPI COMPOSITES INC COM 87266J104 1844 54650 SH SOLE 18000 0 36650 TWITTER INC COM 90184L102 448 7415 SH SOLE 0 0 7415 ULTA BEAUTY INC COM 90384S303 377 1045 SH SOLE 0 0 1045 UNION PAC CORP COM 907818108 1012 5162 SH SOLE 0 0 5162 UNITED STS COMMODITY INDEX F COMM IDX FND 911717106 1317 32207 SH SOLE 0 0 32207 US BANCORP DEL COM NEW 902973304 1127 18957 SH SOLE 0 0 18957 VANECK ETF TRUST AGRIBUSINESS ETF 92189F700 271 2965 SH SOLE 0 0 2965 VANECK ETF TRUST CHINA BOND ETF 92189F379 3375 138395 SH SOLE 0 0 138395 VANECK ETF TRUST GOLD MINERS ETF 92189F106 3380 114698 SH SOLE 0 0 114698 VANECK ETF TRUST JUNIOR GOLD MINE 92189F791 1118 29150 SH SOLE 0 0 29150 VANECK ETF TRUST RARE EARTH/STRTG 92189H805 550 5330 SH SOLE 0 0 5330 VANECK MERK GOLD TR GOLD TRUST 921078101 9035 528688 SH SOLE 150000 0 378688 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 212 2585 SH SOLE 0 0 2585 VANGUARD INDEX FDS GROWTH ETF 922908736 303 1045 SH SOLE 0 0 1045 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 883 8677 SH SOLE 0 0 8677 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 212 537 SH SOLE 0 0 537 VANGUARD INDEX FDS SM CP VAL ETF 922908611 570 3370 SH SOLE 0 0 3370 VANGUARD INDEX FDS TOTAL STK MKT 922908769 2076 9347 SH SOLE 0 0 9347 VANGUARD INDEX FDS VALUE ETF 922908744 436 3223 SH SOLE 0 0 3223 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 420 6885 SH SOLE 0 0 6885 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 2526 50515 SH SOLE 0 0 50515 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 3909 74343 SH SOLE 0 0 74343 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 848 8985 SH SOLE 0 0 8985 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 1108 13448 SH SOLE 0 0 13448 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 2072 13489 SH SOLE 0 0 13489 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 1255 24854 SH SOLE 0 0 24854 VANGUARD WHITEHALL FDS EMERG MKT BD ETF 921946885 551 7035 SH SOLE 0 0 7035 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 1548 14983 SH SOLE 0 0 14983 VANGUARD WORLD FDS INF TECH ETF 92204A702 1782 4441 SH SOLE 0 0 4441 VERIZON COMMUNICATIONS INC COM 92343V104 6644 123021 SH SOLE 0 0 123021 VERTICAL CAP INCOME FD SHS BEN INT 92535C104 412 39255 SH SOLE 0 0 39255 VIR BIOTECHNOLOGY INC COM 92764N102 500 11500 SH SOLE 0 0 11500 VISA INC COM CL A 92826C839 3532 15857 SH SOLE 0 0 15857 WALGREENS BOOTS ALLIANCE INC COM 931427108 411 8742 SH SOLE 0 0 8742 WALMART INC COM 931142103 3150 22597 SH SOLE 0 0 22597 WASTE MGMT INC DEL COM 94106L109 944 6320 SH SOLE 0 0 6320 WELLS FARGO CO NEW COM 949746101 3131 67463 SH SOLE 0 0 67463 WESTERN ASSET HIGH INCOME OP COM 95766K109 177 34157 SH SOLE 0 0 34157 WESTERN ASST INFLTN LKD INM COM SH BEN INT 95766Q106 749 54340 SH SOLE 0 0 54340 WESTERN AST INFL LKD OPP & I COM 95766R104 1051 79050 SH SOLE 0 0 79050 WEYERHAEUSER CO MTN BE COM NEW 962166104 315 8848 SH SOLE 0 0 8848 WILLIS TOWERS WATSON PLC LTD SHS G96629103 1000 4300 SH SOLE 0 0 4300 WISDOMTREE TR JP SMALLCP DIV 97717W836 1286 16737 SH SOLE 0 0 16737 ZEBRA TECHNOLOGIES CORPORATI CL A 989207105 1289 2500 SH SOLE 0 0 2500 ZOETIS INC CL A 98978V103 219 1130 SH SOLE 0 0 1130