-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Tg7o9puE1y/cJoxEboYhT2ZGY8HO/hfLNEWdz/hvO9VGa8mooUSQJsaGjlVLw5Gc V5vRVY5Edm5LKZFV198Mvg== 0001161722-07-000002.txt : 20070220 0001161722-07-000002.hdr.sgml : 20070219 20070220113236 ACCESSION NUMBER: 0001161722-07-000002 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20061231 FILED AS OF DATE: 20070220 DATE AS OF CHANGE: 20070220 EFFECTIVENESS DATE: 20070220 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HOLLENCREST SECURITIES LLC CENTRAL INDEX KEY: 0001161722 IRS NUMBER: 954121065 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-06753 FILM NUMBER: 07634294 BUSINESS ADDRESS: STREET 1: 5535 BALBOA BLVD STREET 2: SUITE 200 CITY: ENCINO STATE: CA ZIP: 91316 BUSINESS PHONE: 8183827720 FORMER COMPANY: FORMER CONFORMED NAME: RND RESOURCES INC DATE OF NAME CHANGE: 20011031 13F-HR/A 1 inftable.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 23F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2006 Check Here if Amendment [X] This Amendment (Check only one.): [X] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Hollencrest Securities LLC Address: 100 Bayview Circle Suite 500 Newport Beach, CA 92660 13F File Number: 801-55904 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 submission. Person Signing this Report on Behalf of Reporting Manager: Name: Peter J. Pellizzon Title: Managing Director Phone: 949-823-7723 Signature: Place: and Date of Signing: Peter J. Pellizzon Los Angeles, California February 19, 2007 Report Type (Check only one.): [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: None FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 293 Form 13F Information Table Value Total: $277,237 ($1,000s) List of Other Included Managers: 0 FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ALLIANCE GAMING CORP COM NEW COM 01859P609 0 11000 SH SOLE 11000 ALLTEL CORP COM 020039103 1288 21300 SH SOLE 21300 ALTRIA GROUP INCCOM COM 02209S103 627 7311 SH SOLE 3930 3381 AMERICAN CAPITAL STRATEGIES LT COM 024937104 858 18550 SH SOLE 18550 AMERICAN EXPRESS CO COM COM 025816109 656 10810 SH SOLE 10810 AMGEN INCCOM COM 031162100 939 13740 SH SOLE 3348 10392 ARENA PHARMACEUTICALS INC COM 040047102 241 18700 SH SOLE 7000 11700 AUTOMATIC DATA PROCESSING INCC COM 053015103 453 9200 SH SOLE 9200 AZTAR CORPORATIONCASH MERGER COM 054802103 479 8800 SH SOLE 8800 Aetrium Inc Com COM 00817R103 69 19445 SH SOLE 19445 Arawak Energy Corp COM 038743100 116 50000 SH SOLE 50000 Armor Hldgs Inc Com COM 042260109 204 3717 SH SOLE 3517 200 Atlantis Internet Group Corp COM 04914u100 0 10000 SH SOLE 10000 BALSAM VENTURES INC COM 058820101 17 240000 SH SOLE 240000 BANK OF AMERICA CORP COM 060505104 219 4109 SH SOLE 862 3247 BEA SYS INC COM COM 073325102 355 28200 SH SOLE 28200 BEAR STEARNS COS INC COM COM 073902108 960 5900 SH SOLE 5900 BELO CORPORATION COM 080555105 213 11600 SH SOLE 11600 BERKSHIRE HATHAWAY INC-DEL CL COM 084670108 440 4 SH SOLE 4 BIRKS & MAYORS INC CLASS A VOT COM 090881103 156 21737 SH SOLE 21737 BOSTON PROPERTIES INC COM 101121101 1063 9500 SH SOLE 9500 BOYD GAMING CORP COM 103304101 603 13300 SH SOLE 13300 BRAVO FOODS INTERNATIONAL CORP COM 105666101 6 20000 SH SOLE 20000 BRISTOL MYERS SQUIBB CO COM COM 110122108 500 19000 SH SOLE 19000 BROADCOM CORP CL A COM COM 111320107 237 7344 SH SOLE 6494 850 Berkshire Hathaway Inc-Del Cl COM 084670207 14044 3831 SH SOLE 66 3765 Biomira Inc COM 09161r106 19 16900 SH SOLE 16900 CA INC COM COM 12673P105 1148 50700 SH SOLE 50700 CABOT OIL & GAS CORP COM 127097103 1031 17000 SH SOLE 17000 CAPITAL CITY BANK GROUP INCCOM COM 139674105 208 5906 SH SOLE 5906 CB RICHARD ELLIS GROUP INCCL A COM 12497T101 664 20000 SH SOLE 20000 CELGENE CORP COM 151020104 2071 36000 SH SOLE 36000 CHEVRON CORPORATION COM COM 166764100 1725 23456 SH SOLE 19472 3984 CHICAGO MERCANTILE EXCHANGE HO COM 167760107 4078 8000 SH SOLE 8000 CHINA TRAVEL INTERNATIONAL INV COM y1507d100 7 20000 SH SOLE 20000 CISCO SYS INC COM COM 17275R102 703 25724 SH SOLE 7810 17914 CITIGROUP INC COM COM 172967101 211 3793 SH SOLE 2330 1463 COCA COLA CO COM COM 191216100 954 19777 SH SOLE 10391 9386 COGNIZANT TECH SOLUTIONS CL A COM 192446102 297 3853 SH SOLE 3603 250 COHEN & STEERS INC COM 19247a100 603 15000 SH SOLE 15000 CONOCOPHILLIPSCOM COM 20825C104 2143 29786 SH SOLE 11945 17841 COSTCO WHSL CORP NEW COM COM 22160K105 752 14225 SH SOLE 2000 12225 CVB FINANCIAL CORP COM 126600105 202 14002 SH SOLE 14002 Ceradyne Inc Com COM 156710105 378 6699 SH SOLE 6699 Chase Resource Corp New COM 161908108 0 26000 SH SOLE 26000 Conographic Corp Calif Restr COM 0 11000 SH SOLE 11000 Cost-U-Less Inc Com COM 221492101 1325 164605 SH SOLE 20000 144605 DELPHI CORP (FORMERLY DELPHI A COM 159 41725 SH SOLE 10725 31000 DISNEY WALT CO COM COM 254687106 304 8876 SH SOLE 1608 7268 Drugstore Com Inc Com COM 262241102 73 20000 SH SOLE 20000 EASTMAN KODAK CO COM COM 277461109 561 21742 SH SOLE 21742 EMC CORP MASS COM 268648102 199 15088 SH SOLE 8930 6158 EXXON MOBIL CORP COM 30231G102 1468 19158 SH SOLE 2740 16418 Easyriders Inc. 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COM 758932107 1962 49613 SH SOLE 49613 Rf Microdevices Inc Com COM 749941100 685 100900 SH SOLE 900 100000 Rite Aid Corp Com COM 767754104 109 20000 SH SOLE 20000 SANDISK CORP COM 80004c101 228 5300 SH SOLE 5300 SEAGATE TECHNOLOGY COM g7945j104 807 30435 SH SOLE 11600 18835 SMARTALK TELESERVICES INC COM 83169a100 0 50000 SH SOLE 50000 SOLPOWER CORP COM 833981103 2 22000 SH SOLE 22000 STARBUCKS CORP COM COM 855244109 584 16499 SH SOLE 520 15979 STATION CASINOS INC COM 857689103 202 2478 SH SOLE 2278 200 SUN MICROSYSTEMS INC COM COM 866810104 178 32761 SH SOLE 15375 17386 SYMANTEC CORP COM COM 871503108 1024 49110 SH SOLE 12743 36367 TD BANKNORTH INCCOM COM 87235A101 433 13426 SH SOLE 13426 TEJON RANCH CO COM 879080109 447 8000 SH SOLE 8000 TELKONET INC COM 879604106 27 10000 SH SOLE 10000 TENNECO INC COM 880349105 346 14000 SH SOLE 14000 THIRD ORDER NANO TECHNOLOGIES COM 88428a106 4 10500 SH SOLE 10500 TIME WARNER INCCOM NEW COM 887317105 735 33754 SH SOLE 2987 30767 TRANSITION 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12665.000 ISHARES TRUST LEHMAN AGGREGATE INDEX CEF 464287226 1043 10465.000SH SOLE 4550.000 5915.000 ISHARES TRUST MID CORE INDEX F INDEX CEF 464288208 214 2600.000 SH SOLE 1500.000 1100.000 ISHARES TRUST MSCI EAFE INDEX INDEX CEF 464287465 551 7519.000 SH SOLE 380.000 7139.000 ISHARES TRUST MSCI EMERGING MA INDEX CEF 464287234 351 3075.000 SH SOLE 3075.000 ISHARES TRUST RUSSELL 1000 GRO INDEX CEF 464287614 1585 28801.000SH SOLE 21487.000 7314.000 ISHARES TRUST RUSSELL 1000 IND INDEX CEF 464287622 231 3000.000 SH SOLE 3000.000 ISHARES TRUST RUSSELL 1000 VAL INDEX CEF 464287598 983 11891.000SH SOLE 5495.000 6396.000 ISHARES TRUST RUSSELL 2000 GRO INDEX CEF 464287648 550 7004.000 SH SOLE 685.000 6319.000 ISHARES TRUST RUSSELL 2000 IND INDEX CEF 464287655 387 4965.000 SH SOLE 4335.000 630.000 ISHARES TRUST RUSSELL 2000 VAL INDEX CEF 464287630 441 5504.000 SH SOLE 150.000 5354.000 ISHARES TRUST RUSSELL 3000 GRO INDEX CEF 464287671 1730 38498.000SH SOLE 36998.000 1500.000 ISHARES TRUST S&P 500 GROWTH I INDEX CEF 464287309 1000 15399.000SH SOLE 13120.000 2279.000 ISHARES TRUST S&P 500 INDEX FU INDEX CEF 464287200 376 2650.000 SH SOLE 2650.000 ISHARES TRUST S&P 500 VALUE IN INDEX CEF 464287408 1297 16869.000SH SOLE 16134.000 735.000 ISHARES TRUST S&P MIDCAP 400 I INDEX CEF 464287507 369 4603.000 SH SOLE 3883.000 720.000 Nasdaq 100 Shares Unit Ser 1 INDEX CEF 631100104 794 18394.660SH SOLE 2985.000 15409.660 POWERSHARES EXCHANGE-TRADED FU INDEX CEF 73935x583 348 6000.000 SH SOLE 6000.000 SECTOR SPDR TRUST SHS BEN INT INDEX CEF 81369y803 236 10130.000SH SOLE 207.000 9923.000 STANDARD & POORS DEPOSITARY RE INDEX CEF 78462f103 3673 25934.000SH SOLE 9707.000 16227.000 Bayport Foxmoor Associates LP 0 100000.000SH SOLE 100000.000 Bayport Serenade Partners LP 3 LP 0 40000.000SH SOLE 40000.000 Enbridge Energy Partners L P LP 29250r106 336 6800.000 SH SOLE 6800.000 PENGROWTH ENERGY TRUST UNIT NE LP 706902509 534 31000.000SH SOLE 30000.000 1000.000 POPE RESOURCES-A DELAWARE LP D LP 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STANLEY CALIF QUALITY M NON-TAX CEF 61745p635 302 20091.000SH SOLE 12466.000 7625.000 NUVEEN CALIFORNIA DIVIDEND ADV NON-TAX CEF 67066y105 235 14800.000SH SOLE 3100.000 11700.000 NUVEEN CALIFORNIA DIVIDEND ADV NON-TAX CEF 67069x104 620 40028.000SH SOLE 16728.000 23300.000 NUVEEN CALIFORNIA DIVIDEND ADV NON-TAX CEF 67070y109 758 48890.000SH SOLE 1000.000 47890.000 NUVEEN CALIFORNIA INVESTMENT Q NON-TAX CEF 67062a101 480 32921.000SH SOLE 15871.000 17050.000 NUVEEN CALIFORNIA PERFORMANCE NON-TAX CEF 67062q106 1087 73607.000SH SOLE 42507.000 31100.000 NUVEEN CALIFORNIA PREMIUM INCO NON-TAX CEF 6706l0102 200 14323.000SH SOLE 14323.000 NUVEEN CALIFORNIA QUALITY INCO NON-TAX CEF 670985100 361 23520.000SH SOLE 10320.000 13200.000 PIMCO CALIFORNIA MUNI INCOME F NON-TAX CEF 72200m108 1626 99000.000SH SOLE 6000.000 93000.000 PIMCO CALIFORNIA MUNICIPAL INC NON-TAX CEF 72201c109 2198 122366.000SH SOLE 76500.000 45866.000 Pimco Municipal Inc Fd Com NON-TAX CEF 72200R107 323 18500.000SH SOLE 18500.000 VAN KAMPEN CALIFORNIA VALUE MU NON-TAX CEF 92112b107 2219 139561.000SH SOLE 71250.000 68311.000 VAN KAMPEN TR FOR INVESTMENT G NON-TAX CEF 920932100 211 14000.000SH SOLE 14000.000 HSBC BK USA N A GLOBAL MEIUM T CONV 4042q0ha0 5504 5200000 PRN SOLE 1420000 3780000 ABERDEEN AUSTRALIA EQUITY FUND TAXABLE CEF 003011103 1074 76900.000SH SOLE 76900.000 ALLIANCEBERNSTEIN GLOBAL HIGH TAXABLE CEF 01879r106 184 13400.000SH SOLE 13400.000 ALLIANCEBERNSTEIN INCOME FUND TAXABLE CEF 01881e101 2297 282148.000SH SOLE 79590.000 202558.000 Aberdeen Asia Pacific Income F TAXABLE CEF 003009107 316 50814.000SH SOLE 50814.000 BLACKROCK DEBT STRATEGIES FD I TAXABLE CEF 09255r103 636 85655.000SH SOLE 4255.000 81400.000 BLACKROCK DIVERSIFIED INCOME S TAXABLE CEF 09255w102 348 17940.000SH SOLE 12400.000 5540.000 BLACKROCK ENHANCED DIVID ACHIE TAXABLE CEF 09251a104 160 10500.000SH SOLE 10500.000 BLACKROCK FLOATING RATE INCOME TAXABLE CEF 09255x100 475 26300.000SH SOLE 26300.000 BLACKROCK INCOME TRUST 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SOLE 68089.000 193926.000 HYPERION TOTAL RETURN FUND INC TAXABLE CEF 449145101 106 11571.000SH SOLE 11571.000 ING GLOBAL EQUITY DIVIDEND AND TAXABLE CEF 45684e107 475 22000.000SH SOLE 22000.000 ING PRIME RATE TR SH BEN INT TAXABLE CEF 44977w106 221 30533.000SH SOLE 30533.000 JOHN HANCOCK INCOME SECURITIES TAXABLE CEF 410123103 153 10400.000SH SOLE 5000.000 5400.000 JOHN HANCOCK PREFERRED INCOME TAXABLE CEF 41021p103 368 16399.000SH SOLE 2100.000 14299.000 JOHN HANCOCK TAX-ADVANTAGED DI TAXABLE CEF 41013v100 244 12000.000SH SOLE 5000.000 7000.000 John Hancock Preferred Income TAXABLE CEF 41013w108 218 8568.000 SH SOLE 8568.000 LIBERTY ALL-STAR EQUITY FUND S TAXABLE CEF 530158104 163 19709.000SH SOLE 19709.000 MFS CHARTER INCOME TRUST-SBI TAXABLE CEF 552727109 132 15400.000SH SOLE 15400.000 MFS GOVERNMENT MARKETS INCOME TAXABLE CEF 552939100 104 16000.000SH SOLE 16000.000 MFS INTERMEDIATE INCOME TRUST TAXABLE CEF 55273c107 187 30401.000SH SOLE 30401.000 MFS MULTIMARKET INCOME TRUST S TAXABLE CEF 552737108 117 19400.000SH SOLE 19400.000 MORGAN STANLEY ASIA PACIFIC FU TAXABLE CEF 61744u106 5411 283000.000SH SOLE 283000.000 MORGAN STANLEY EMERGING MKTS F TAXABLE CEF 61744g107 1663 62000.000SH SOLE 62000.000 MORGAN STANLEY HIGH YIELD FUND TAXABLE CEF 61744m104 129 21720.000SH SOLE 9120.000 12600.000 Morgan Stanley Eastern Europe TAXABLE CEF 616988101 305 7650.000 SH SOLE 7650.000 NUVEEN EQUITY PREM ADVANTAGE F TAXABLE CEF 6706et107 192 10000.000SH SOLE 10000.000 NUVEEN FLOATING RATE INCOME FD TAXABLE CEF 67072t108 155 11400.000SH SOLE 11400.000 NUVEEN FLOATING RATE INCOME OP TAXABLE CEF 6706en100 199 14400.000SH SOLE 8100.000 6300.000 NUVEEN PFD & CONV INCOME FUND TAXABLE CEF 67073d102 370 26227.000SH SOLE 26227.000 NUVEEN PREFERRED AND CONVERTIB TAXABLE CEF 67073b106 298 20857.000SH SOLE 20857.000 NUVEEN QUALITY PFD INCOME FD 2 TAXABLE CEF 67072c105 477 31652.000SH SOLE 3000.000 28652.000 NUVEEN SR INCOME FD TAXABLE CEF 67067y104 124 14600.000SH SOLE 6500.000 8100.000 Nicholas-Applegate Conv & Inco TAXABLE CEF 65370f101 644 39895.000SH SOLE 18267.000 21628.000 Nicholas-Applegate Convertible TAXABLE CEF 65370g109 269 16997.000SH SOLE 16997.000 PIMCO CORPORATE OPPORTUNITY FU TAXABLE CEF 72201b101 1219 71480.000SH SOLE 20212.000 51268.000 PIMCO FLOATING RATE INCOME FUN TAXABLE CEF 72201h108 253 12700.000SH SOLE 5200.000 7500.000 POWERSHARES GLOBAL WATER PORTF TAXABLE CEF 73935x575 1132 61400.000SH SOLE 60400.000 1000.000 PUTNAM MASTER INTERMEDIATE INC TAXABLE CEF 746909100 141 21900.000SH SOLE 21900.000 PUTNAM PREMIER INCOME TRUST SB TAXABLE CEF 746853100 274 42600.000SH SOLE 42600.000 Pimco Coml Mtg Secs Tr Com TAXABLE CEF 693388100 186 12958.000SH SOLE 2958.000 10000.000 Pimco High Income Fund TAXABLE CEF 722014107 798 50008.000SH SOLE 10525.000 39483.000 Pioneer High Income Tr TAXABLE CEF 72369h106 207 11210.000SH SOLE 3200.000 8010.000 Royce Micro-Cap Trust Inc TAXABLE CEF 780915104 316 19100.000SH SOLE 3000.000 16100.000 TEMPLETON DRAGON FUND INC NEW TAXABLE CEF 88018t101 8884 338300.000SH SOLE 338300.000 TEMPLETON EMERGING MARKETS FUN TAXABLE CEF 880191101 1775 96900.000SH SOLE 96900.000 VAN KAMPEN SENIOR INCOME TRUST TAXABLE CEF 920961109 1265 143600.000SH SOLE 143600.000 WESTERN ASSET EMERGING MKTS DE TAXABLE CEF 95766a101 200 11200.000SH SOLE 11200.000 WESTERN ASSET EMERGING MKTS IN TAXABLE CEF 95766e103 135 10500.000SH SOLE 900.000 9600.000 WESTERN ASSET HIGH INCOME FD I TAXABLE CEF 95766j102 193 17400.000SH SOLE 17400.000 WESTERN ASSET HIGH INCOME OPPO TAXABLE CEF 95766k109 113 16800.000SH SOLE 16800.000 WESTERN ASSET INFLATION MGMT F TAXABLE CEF 95766u107 193 12130.000SH SOLE 10100.000 2030.000 WESTERN ASSET/CLAYMORE U S TRE TAXABLE CEF 95766q106 194 17000.000SH SOLE 14300.000 2700.000 WESTERN ASSET/CLAYMORE U S TRE TAXABLE CEF 95766r104 1229 106221.000SH SOLE 75589.000 30632.000 ZWEIG FUND INC TAXABLE CEF 989834106 354 60002.000SH SOLE 60002.000 BLACKROCK CORPORATE HIGH YIELD HEDGE 09255m104 116 14140.00 SH SOLE 1100.00 13040.00 AIM SELECT REAL ESTATE INCOME REIT CEF 00888r107 217 13000 SH SOLE 13000 COHEN & STEERS REIT & PREFERRE REIT CEF 19247x100 256 8250 SH SOLE 350 7900 ING CLARION GLOBAL REAL ESTATE REIT CEF 44982g104 748 30300 SH SOLE 1200 29100
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