-----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, ACanlIUI5TuOLOZpvOErxuSQNc/FKk2bscNRa9Fc5CWZRbiw04jhoxsEAcxaYb6a K9CAzq3kliFJjHn3rT1xlg== 0001161722-04-000012.txt : 20041001 0001161722-04-000012.hdr.sgml : 20041001 20041001171933 ACCESSION NUMBER: 0001161722-04-000012 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040630 FILED AS OF DATE: 20041001 DATE AS OF CHANGE: 20041001 EFFECTIVENESS DATE: 20041001 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: 041059527 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: June 30, 2004 Check Here if Amendment [X] This Amendment (Check only one.): [X] is a restatement. [ ] adds new holdings entries. Amendment Number 1 Previous filing had the incorrect date and 13F file number. 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 October 1,2004 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: 216 Form 13F Information Table Value Total: $192,212 ($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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- Aetrium Inc Com COM 00817R103 286 38851 SH SOLE 38851 Alltel Corp Com COM 020039103 557 11000 SH SOLE 11000 Almaden Minerals Ltd COM 020283107 46 30000 SH SOLE 30000 Altria Group Inc COM 02209s103 494 9877 SH SOLE 7658 2219 American Express Company COM 025816109 627 12209 SH SOLE 1161 11048 American Intl Group Inc Com COM 026874107 298 4187 SH SOLE 251 3936 American Tower Corp Cl A COM 029912201 152 10000 SH SOLE 10000 Ameristar Casinos Inc Com COM 03070Q101 497 14808 SH SOLE 7808 7000 Amgen Inc COM 031162100 501 9184 SH SOLE 160 9024 Amr Corp-Del COM 001765106 363 30000 SH SOLE 30000 Apache Corp COM 037411105 274 6300 SH SOLE 6300 Apple Computer Com Npv COM 037833100 384 11800 SH SOLE 11800 Applied Materials Inc COM 038222105 199 10125 SH SOLE 3196 6929 Arawak Energy Corp COM 038743100 37 65000 SH SOLE 65000 Atlantis Internet Group Corp COM 04914u100 0 10000 SH SOLE 10000 Balsam Ventures Inc COM 058820101 14 240000 SH SOLE 240000 Bank Of America Corp COM 060505104 1428 16880 SH SOLE 16880 Banknorth Group Inc New Com COM 06646R107 240 7400 SH SOLE 7400 Bear Stearns Cos Inc Com COM 073902108 278 3300 SH SOLE 3300 Belo Corp Com Ser A COM 080555105 303 11300 SH SOLE 11300 Berkshire Hathaway Inc-Del Cl COM 084670108 1779 20 SH SOLE 20 Berkshire Hathaway Inc-Del Cl COM 084670207 18560 6281 SH SOLE 5 6276 Biomet Inc Com COM 090613100 1067 24007 SH SOLE 16757 7250 Biophan Technologies COM 09064v105 14 14000 SH SOLE 14000 Blackrock Ca Muni Income Tr Sh COM 09248e102 1106 87800 SH SOLE 87800 Boeing Co COM 097023105 263 5143 SH SOLE 3675 1468 Bombay Co Inc COM 097924104 70 11500 SH SOLE 11500 Cendant Corp COM 151313103 309 12618 SH SOLE 2214 10404 Chase Resource Corp New COM 161908108 0 26000 SH SOLE 26000 Chevrontexaco Corp COM 166764100 1646 17488 SH SOLE 300 17188 Cisco Systems Inc COM 17275r102 1239 52258 SH SOLE 2670 49588 Coca Cola Co COM 191216100 521 10319 SH SOLE 653 9666 Coca Cola Enterprises Inc Com COM 191219104 920 31747 SH SOLE 22747 9000 Computer Assoc Intl Inc Com COM 204912109 634 22611 SH SOLE 1345 21266 Corning Inc COM 219350105 481 36810 SH SOLE 6220 30590 Cost-U-Less Inc Com COM 221492101 1206 200935 SH SOLE 33582 167353 Costco Wholesale Corp-New COM 22160k105 580 14125 SH SOLE 2000 12125 Countrywide Financial Corp COM 222372104 1402 19962 SH SOLE 10808 9154 Countrywide Finl Corp Com COM 222372104 386 5499 SH SOLE 5499 Covad Communications Com COM 222814204 41 17000 SH SOLE 17000 Cvb Financial Corp COM 126600105 230 10562 SH SOLE 10562 Davita Inc Com COM 23918K108 761 24690 SH SOLE 12390 12300 Dell Inc Com COM 24702R101 379 10569 SH SOLE 1771 8798 Drugstore Com Inc Com COM 262241102 70 20000 SH SOLE 20000 Dst Systems Inc-Del COM 233326107 17216 357996 SH SOLE 357996 Eastman Kodak Co Com COM 277461109 298 11027 SH SOLE 11027 Ebay Inc Com COM 278642103 765 8324 SH SOLE 119 8205 Emc Corp-Mass COM 268648102 123 10821 SH SOLE 3866 6955 Empire Of Carolina Inc COM 292007101 0 15830 SH SOLE 15830 Exxon Mobil Corp COM 30231g102 548 12330 SH SOLE 3124 9206 First Point Minerals Corp COM 335937108 2 15000 SH SOLE 15000 Fiserv Inc COM 337738108 896 23029 SH SOLE 15113 7916 Fisher Scientific Intl Inc Com COM 338032204 755 13069 SH SOLE 8069 5000 Fluor Corp New Com COM 343412102 565 11856 SH SOLE 11856 Gannett Inc Com COM 364730101 533 6282 SH SOLE 322 5960 Gap Inc Com COM 364760108 806 33219 SH SOLE 22850 10369 Genentech Inc Com COM 368710406 1170 20812 SH SOLE 11412 9400 General Electric Co COM 369604103 4185 129175 SH SOLE 5593 123582 Go Call Inc Com COM 380163105 0 35000 SH SOLE 35000 H & Q Healthcare Investors Sbi COM 404052102 518 29750 SH SOLE 29750 Harrahs Entmt Inc Com COM 413619107 287 5300 SH SOLE 5300 Headwaters Inc Com COM 42210P102 862 33249 SH SOLE 15918 17331 Helen Of Troy Ltd Com New COM G4388N106 1318 35743 SH SOLE 25243 10500 Hewlett Packard Co Com COM 428236103 268 12693 SH SOLE 400 12293 Home Depot Inc COM 437076102 206 5866 SH SOLE 410 5456 Inca Pacific Resources Inc COM 45324a101 5 52500 SH SOLE 52500 Infonet Svcs Corp Cl B COM 45666T106 175 100000 SH SOLE 100000 Intel Corp COM 458140100 851 30823 SH SOLE 3050 27773 International Business Machine COM 459200101 1753 19885 SH SOLE 1054 18831 International Food Products Gr COM 45952r103 19 142667 SH SOLE 142667 International Game Technology COM 459902102 1529 39616 SH SOLE 20316 19300 Itronics Inc COM 465743102 4 42750 SH SOLE 42750 Jds Uniphase Corp Com COM 46612j101 526 138834 SH SOLE 2170 136664 Johnson & Johnson COM 478160104 362 6498 SH SOLE 2400 4098 K Mart Corp COM 482584109 0 276250 SH SOLE 65000 211250 King Pharmaceuticals Inc COM 495582108 173 15066 SH SOLE 15066 Knight Ridder Inc Com COM 499040103 295 4100 SH SOLE 4100 Kroger Co Com COM 501044101 3430 188486 SH SOLE 1000 187486 L-3 Communications Holdings In COM 502424104 501 7493 SH SOLE 7493 Lam Resh Corp Com COM 512807108 256 9560 SH SOLE 9560 Landrys Restaurants Inc Com COM 51508L103 788 26365 SH SOLE 14352 12013 Lee Enterprises Inc Com COM 523768109 307 6400 SH SOLE 300 6100 Leisure Canada Inc COM 524911104 2 10000 SH SOLE 10000 Lowes Companies Inc COM 548661107 1260 23982 SH SOLE 760 23222 Lucent Technologies Inc COM 549463107 91 24189 SH SOLE 2025 22164 Manhattan Minerals Corp-B C COM 56310p101 1 10000 SH SOLE 10000 Manulife Financial Corp COM 56501r106 1283 31685 SH SOLE 31685 Maxworldwide Inc Com COM 577940109 42 100000 SH SOLE 100000 Mcclatchy Co Cl A COM 579489105 288 4100 SH SOLE 4100 Mcgraw Hill Cos Inc Com COM 580645109 872 11392 SH SOLE 5823 5569 Mci Communications Corp COM 552691107 5118 354653 SH SOLE 102572 252081 Merck & Co Inc COM 589331107 257 5401 SH SOLE 3458 1943 Merrill Lynch & Co Inc COM 590188108 291 5399 SH SOLE 2165 3234 Metasolv Inc Com COM 59139P104 48 16900 SH SOLE 16900 Mgm Mirageinc Com COM 552953101 252 5378 SH SOLE 5378 Microsoft Corp COM 594918104 978 34248 SH SOLE 4836 29412 Morgan Stanley Eastn Com COM 616988101 256 9000 SH SOLE 9000 Motorola Inc Com COM 620076109 956 52371 SH SOLE 27465 24906 Ncr Corp New Com COM 62886E108 265 5338 SH SOLE 5338 Nevsun Resources Ltd COM 64156l101 28 10000 SH SOLE 10000 New York Times Co Cl A COM 650111107 385 8600 SH SOLE 8600 Nortel Networks Corp COM 656568102 177 35507 SH SOLE 12337 23170 Ntm Inc COM 629408105 0 30000 SH SOLE 30000 Nvid International Inc COM 62944y104 0 10000 SH SOLE 10000 Odyssey Resources Limted COM P73515101 2 20000 SH SOLE 20000 Oracle Corp COM 68389x105 417 34981 SH SOLE 4500 30481 Owens Illinois Inc New COM 690768403 670 40000 SH SOLE 40000 P Com Inc COM 693262206 9 207500 SH SOLE 207500 Patina Oil + Gas Corp Com COM 703224105 933 31222 SH SOLE 16999 14223 Peoplesoft Inc Com COM 712713106 270 14608 SH SOLE 1008 13600 Pepsico Inc COM 713448108 228 4235 SH SOLE 926 3309 Pfizer Inc COM 717081103 1068 31143 SH SOLE 31143 Placer Dome Inc Com COM 725906101 832 50000 SH SOLE 50000 Pmc-Sierra Inc COM 69344f106 158 11000 SH SOLE 11000 Qlogic Corp COM 747277101 329 12355 SH SOLE 12355 Qualcomm Inc Com COM 747525103 1509 20679 SH SOLE 8528 12151 Quantum Corp Dssg Com COM 747906204 98 31700 SH SOLE 31700 Quicklogic Corp Com COM 74837P108 63 17973 SH SOLE 393 17580 Rambus Inc Del Com COM 750917106 780 43894 SH SOLE 43894 Regis Corp. COM 758932107 3347 75060 SH SOLE 14230 60830 Rf Microdevices Inc Com COM 749941100 750 100000 SH SOLE 100000 Rite Aid Corp Com COM 767754104 121 23093 SH SOLE 23093 Rogers Corp Com COM 775133101 1095 15670 SH SOLE 10378 5292 Scientific Atlanta Inc Com COM 808655104 334 9670 SH SOLE 9670 Smarttalk Teleservices Com COM 83169a100 0 50000 SH SOLE 50000 Southwestern Energy Co COM 845467109 358 12502 SH SOLE 95 12407 Ss&c Technologies Inc COM 85227q100 281 15000 SH SOLE 15000 Stanley Works COM 854616109 813 17843 SH SOLE 11043 6800 Starbucks Corp Com COM 855244109 1382 31768 SH SOLE 11602 20166 Station Casinos Inc COM 857689103 601 12408 SH SOLE 12408 Stornoway Diamond Corp COM 86222q103 15 10000 SH SOLE 10000 Sun Microsystems Inc COM 866810104 209 48062 SH SOLE 7100 40962 Superior Inds Intl Inc Com COM 868168105 241 7200 SH SOLE 7200 Techne Corp Com COM 878377100 682 15686 SH SOLE 8501 7185 Tenneco Automotive Inc COM 880349105 198 15000 SH SOLE 15000 Time Warner Inc New COM 887317105 319 18145 SH SOLE 4787 13358 Tjx Cos Inc New Com COM 872540109 928 38433 SH SOLE 25275 13158 Trc Cos Inc Com COM 872625108 200 12000 SH SOLE 12000 Triangle Multi-Media Ltd Inc C COM 895891109 12 1500000 SH SOLE 1500000 Tyco International Ltd COM 902124106 276 8323 SH SOLE 176 8147 United Parcel Svc Inc Cl B COM 911312106 2962 39400 SH SOLE 200 39200 Universal Health Svcs Inc Cl B COM 913903100 226 4915 SH SOLE 215 4700 Urban Outfitters Inc Com COM 917047102 1188 19510 SH SOLE 10374 9136 Us Bancorp Del Com New COM 902973304 3445 125000 SH SOLE 125000 Vasomedical Inc Com COM 922321104 11 10000 SH SOLE 10000 Verizon Communications COM 92343v104 355 9800 SH SOLE 1830 7970 Vignette Corp Com COM 926734104 33 20000 SH SOLE 20000 Vrb Power Systems Inc COM 91829g102 27 60000 SH SOLE 60000 Washington Mutual Inc COM 939322103 8138 210600 SH SOLE 1500 209100 Waters Corp Com COM 941848103 802 16781 SH SOLE 10981 5800 Western Digital Corp Com COM 958102105 472 54461 SH SOLE 11000 43461 Wiley John + Son Class A COM 968223206 301 9400 SH SOLE 100 9300 Xerox Corp Com COM 984121103 519 35800 SH SOLE 35800 Yahoo Inc Com COM 984332106 1869 51336 SH SOLE 18318 33018 csuslgove COM 0 100000 SH SOLE 100000 csusozn COM 11 14000 SH SOLE 14000 Allianz Aktiengesellschaft Spo ADR 018805101 329 30000 SH SOLE 30000 Deutsche Telekom Ag Sponsored ADR 251566105 434 24500 SH SOLE 24500 Glaxosmithkline Plc Sponsored ADR 37733W105 700 16877 SH SOLE 10377 6500 Xenova Group Plc Sponsored Adr ADR 984111302 21 10000 SH SOLE 10000 Diamonds Trust-Unit Series 1 INDEX CEF 252787106 460 4393.000 SH SOLE 482.000 3911.000 Ishares Inc Msci Japan Index F INDEX CEF 464286848 1285 120985.000SH SOLE 119143.000 1842.000 Ishares Trust Dow Jones Us Fin INDEX CEF 464287770 286 2775.000 SH SOLE 2775.000 Ishares Trust Russell 1000 Gro INDEX CEF 464287614 2049 42829.000SH SOLE 42829.000 Ishares Trust Russell 1000 Val INDEX CEF 464287598 369 6147.000 SH SOLE 6147.000 Ishares Trust Russell 2000 Gro INDEX CEF 464287648 270 4321.000 SH SOLE 4321.000 Ishares Trust Russell 2000 Val INDEX CEF 464287630 287 1668.000 SH SOLE 1668.000 Ishares Trust S&p 500 Index Fu INDEX CEF 464287200 200 1750.000 SH SOLE 1750.000 Nasdaq 100 Shares Unit Ser 1 INDEX CEF 631100104 656 17352.000SH SOLE 1400.000 15952.000 Sector Spdr Tr Technology INDEX CEF 81369Y803 984 47533.000SH SOLE 37600.000 9933.000 Standard & Poors Depository Re INDEX CEF 78462f103 3174 27710.000SH SOLE 3586.000 24124.000 Enbridge Energy Partners L P LP 29250r106 315 6800.000 SH SOLE 6800.000 Terra Nitrogen Co Lp Common Un LP 881005201 125 10400.000SH SOLE 10400.000 Blackrock Investment Quality M NON-TAX CEF 09247d105 182 13300.000SH SOLE 13300.000 Morgan Stanley Calif Insd Mun NON-TAX CEF 61745p502 292 23000.000SH SOLE 23000.000 Morgan Stanley Calif Quality M NON-TAX CEF 61745p635 141 10575.000SH SOLE 10575.000 Muniholdings California Insure NON-TAX CEF 625933106 791 59225.000SH SOLE 59225.000 Munivest Fund Ii Inc NON-TAX CEF 62629p105 551 39796.000SH SOLE 39796.000 Muniyield California Insured F NON-TAX CEF 62629l104 509 39888.000SH SOLE 39888.000 Muniyield Quality Fund Ii Inc NON-TAX CEF 62630t104 198 17000.000SH SOLE 17000.000 Nuveen California Dividend Adv NON-TAX CEF 67066y105 207 14800.000SH SOLE 3100.000 11700.000 Pimco Ca Muni Inc Fd Com NON-TAX CEF 72200N106 148 11500.000SH SOLE 11500.000 Pimco California Muni Income F NON-TAX CEF 72200m108 271 21000.000SH SOLE 5000.000 16000.000 Pimco California Municipal Inc NON-TAX CEF 72201c109 2812 217777.000SH SOLE 27100.000 190677.000 Pimco Municipal Inc Fd Com NON-TAX CEF 72200R107 245 18500.000SH SOLE 18500.000 Van Kampen California Quality NON-TAX CEF 920920105 209 13965.000SH SOLE 13965.000 Aberdeen Asia Pacific Income F TAXABLE CEF 003009107 180 31328.000SH SOLE 2000.000 29328.000 Acm Income Fd Inc Formerly Acm TAXABLE CEF 000912105 1389 176668.000SH SOLE 27340.000 149328.000 Blackrock California Insured M TAXABLE CEF 09247g108 387 24410.000SH SOLE 24410.000 Blackrock Income Trust Inc TAXABLE CEF 09247f100 91 13336.000SH SOLE 13336.000 Blackrock Investment Quality T TAXABLE CEF 09247j102 112 11500.000SH SOLE 11500.000 Blackrock Limited Duration Inc TAXABLE CEF 09249w101 218 11820.000SH SOLE 1616.000 10204.000 Calamos Strategic Total Return TAXABLE CEF 128125101 152 11500.000SH SOLE 11500.000 Corporate High Yield Fund Inc TAXABLE CEF 219914108 95 11500.000SH SOLE 11500.000 Eaton Vance Limited Duration I TAXABLE CEF 27828h105 1651 91288.000SH SOLE 12671.000 78617.000 Eaton Vance Tax Advantaged TAXABLE CEF 27828G107 2311 125350.000SH SOLE 95200.000 30150.000 Eaton Vance Tax Advantaged Glo TAXABLE CEF 27828s101 6448 383824.000SH SOLE 76020.000 307804.000 Evergreen Income Adv Com Shs TAXABLE CEF 30023Y105 6159 412259.000SH SOLE 81917.000 330342.000 Evergreen Managed Income Fund TAXABLE CEF 30024y104 4238 243011.000SH SOLE 61500.000 181511.000 Franklin Universal Trust-Sbi TAXABLE CEF 355145103 298 55251.000SH SOLE 13590.000 41661.000 Gabelli Equity Trust Inc TAXABLE CEF 362397101 238 29098.000SH SOLE 29098.000 Global High Income Dollar Fund TAXABLE CEF 37933g108 179 11900.000SH SOLE 11900.000 Liberty All-Star Growth Fund I TAXABLE CEF 529900102 122 19131.000SH SOLE 1539.000 17592.000 Nicholas-Applegate Conv & Inco TAXABLE CEF 65370f101 1069 69166.000SH SOLE 35367.000 33799.000 Nuveen Quality Pfd Income Fd 2 TAXABLE CEF 67072c105 330 23492.000SH SOLE 23492.000 Nuveen Quality Pfd Income Fund TAXABLE CEF 67071s101 358 26600.000SH SOLE 26600.000 Pimco Coml Mtg Secs Tr Com TAXABLE CEF 693388100 150 11500.000SH SOLE 11500.000 Pimco Corporate Income Fd TAXABLE CEF 72200u100 409 29200.000SH SOLE 29200.000 Pimco Corporate Opp Fd Com TAXABLE CEF 72201b101 8143 504834.000SH SOLE 72159.000 432675.000 Pimco High Income Fund TAXABLE CEF 722014107 1470 107088.000SH SOLE 21300.000 85788.000 Pioneer High Income Tr Com TAXABLE CEF 72369H106 253 16400.000SH SOLE 16400.000 Preferred Income Strategies Fd TAXABLE CEF 74038e100 340 16000.000SH SOLE 16000.000 Putnam Premier Income Trust Sb TAXABLE CEF 746853100 116 19100.000SH SOLE 19100.000 Royce Micro-Cap Trust Inc TAXABLE CEF 780915104 544 40568.000SH SOLE 3000.000 37568.000 Zweig Fund Inc TAXABLE CEF 989834106 294 60925.000SH SOLE 60925.000 Neuberger Berman Real Estate C REIT CEF 64190A103 294 23123 SH SOLE 18123 5000
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