-----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, VeMZNdRhSBUHI/cdqIHiNn33lavrZ+aPH72FUrk6bZ58KxIB0f57mTULYCX22SNG NelhbCQC5utV5Eq3fmEQsg== 0001161722-03-000014.txt : 20031113 0001161722-03-000014.hdr.sgml : 20031113 20031113140220 ACCESSION NUMBER: 0001161722-03-000014 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030930 FILED AS OF DATE: 20031113 EFFECTIVENESS DATE: 20031113 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: 03997224 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 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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- Ade Corp Mass Com COM 00089C107 1521 86582 SH SOLE 86582 Aetrium Inc Com COM 00817R103 612 300197 SH SOLE 300197 Agere Systems Inc Cl B COM 00845v209 32 11088 SH SOLE 535 10553 Alberto Culver Co Cl B Conv COM 013068101 1006 17102 SH SOLE 14102 3000 Almaden Minerals Ltd COM 020283107 49 44600 SH SOLE 44600 Alpha Technologies Grp Com COM 020781100 18 10000 SH SOLE 10000 Altria Group Inc COM 02209s103 659 15055 SH SOLE 8807 6248 American Express Company COM 025816109 468 10394 SH SOLE 1511 8883 American Tower Corp Cl A COM 029912201 102 10000 SH SOLE 10000 Amgen Inc COM 031162100 918 14215 SH SOLE 472 13743 Amr Corp Com COM 001765106 231 20200 SH SOLE 20200 Aol Time Warner Inc COM 00184a105 370 24465 SH SOLE 5227 19238 Apache Corp COM 037411105 218 3150 SH SOLE 3150 Apple Computer Com Npv COM 037833100 243 11800 SH SOLE 11800 Applied Materials Inc COM 038222105 336 18536 SH SOLE 3770 14766 Arawak Energy Corp COM 038743100 55 65000 SH SOLE 65000 Ase Test Ltd-Ord COM y02516105 194 22380 SH SOLE 22380 At&t Wireless Services Inc COM 00209a106 312 38169 SH SOLE 1112 37057 Axcelis Technologies I Com COM 054540109 115 13875 SH SOLE 13875 Ball Corp COM 058498106 432 8000 SH SOLE 8000 Balsam Ventures Inc COM 058820101 8 240000 SH SOLE 240000 Bank Of Amer Corp COM 060505104 1328 17018 SH SOLE 17018 Bellsouth Corp COM 079860102 277 11692 SH SOLE 11692 Belo Corp Com Ser A COM 080555105 211 8700 SH SOLE 8700 Benchmark Electrs Inc COM 08160H101 751 17767 SH SOLE 13767 4000 Berkshire Hathaway Inc-Del Cl COM 084670207 9405 3768 SH SOLE 3768 Bns Co Cl A New COM 055961304 86 17000 SH SOLE 17000 Boeing Co COM 097023105 237 6903 SH SOLE 3759 3144 Boston Properties Inc COM 101121101 435 10000 SH SOLE 10000 Boston Scientific Corp Com COM 101137107 967 15156 SH SOLE 5693 9463 Caci International Inc-Cl A COM 127190304 1243 29015 SH SOLE 15815 13200 Cardinal Health Inc Com COM 14149Y108 1059 18140 SH SOLE 12686 5454 Cendant Corp COM 151313103 256 13688 SH SOLE 2214 11474 Chase Resource Corp New COM 161908108 0 26000 SH SOLE 26000 Cheesecake Factory Inc Com COM 163072101 378 10454 SH SOLE 10454 Chesapeake Energy Corp COM 165167107 237 22000 SH SOLE 22000 Chevrontexaco Corp COM 166764100 1340 18750 SH SOLE 18750 Chicos Fas Inc COM 168615102 913 29796 SH SOLE 20788 9008 China Yuchai International Ltd COM g21082105 301 17000 SH SOLE 17000 Cisco Systems Inc COM 17275r102 1295 66266 SH SOLE 4690 61576 Citigroup Inc Com COM 172967101 973 21379 SH SOLE 13457 7922 Coca Cola Co COM 191216100 442 10294 SH SOLE 453 9841 Computer Assoc Intl Inc Com COM 204912109 1157 44311 SH SOLE 26645 17666 Cool Can Technologies Com COM 216391102 0 30500 SH SOLE 30500 Corinthian Colleges Inc COM 218868107 640 11200 SH SOLE 11200 Corning Inc COM 219350105 468 49660 SH SOLE 7285 42375 Cost-U-Less Inc Com COM 221492101 446 167485 SH SOLE 33582 133903 Costco Wholesale Corp-New COM 22160k105 381 12250 SH SOLE 2000 10250 Covad Communications Com COM 222814204 66 12000 SH SOLE 12000 Cyberoptics Corp Com COM 232517102 1196 127908 SH SOLE 2000 125908 D R Horton Inc COM 23331a109 1082 33087 SH SOLE 33087 Dell Inc Com COM 24702R101 358 10717 SH SOLE 2223 8494 Dicks Sporting Goods Inc COM 253393102 228 6100 SH SOLE 6100 Dor Biopharma Inc Com COM 258094101 31 40484 SH SOLE 40484 Drugstore Com Inc Com COM 262241102 153 20000 SH SOLE 20000 Ebay Inc Com COM 278642103 327 6103 SH SOLE 13 6090 Echostar Communications Corp N COM 278762109 383 10019 SH SOLE 19 10000 Electroglas Inc Com COM 285324109 123 61379 SH SOLE 61379 Electronic Arts Inc Com COM 285512109 324 3508 SH SOLE 8 3500 Eli Lilly & Co COM 532457108 401 6747 SH SOLE 143 6604 Emc Corp-Mass COM 268648102 457 36166 SH SOLE 4825 31341 Empire Of Carolina Inc COM 292007101 0 15830 SH SOLE 15830 Equity Office Properties Trust COM 294741103 578 21000 SH SOLE 21000 Equity Residential COM 29476l107 466 15900 SH SOLE 15900 Express Scripts Inc Com COM 302182100 592 9677 SH SOLE 6027 3650 Exxon Mobil Corp COM 30231g102 778 21262 SH SOLE 4048 17214 Fair Isaac Corporation COM 303250104 618 10476 SH SOLE 6451 4025 First Data Corp COM 319963104 362 9048 SH SOLE 20 9028 First Point Minerals Corp COM 335937108 3 15000 SH SOLE 15000 Flextronics Intl Ltd Ord COM Y2573F102 201 14168 SH SOLE 14168 Fluor Corp New Com COM 343412102 543 14535 SH SOLE 14535 Freddie Mac-Voting Common COM 313400301 646 12343 SH SOLE 155 12188 Gabelli Util Tr Com COM 36240A101 750 95030 SH SOLE 15200 79830 Gannett Inc Com COM 364730101 379 4882 SH SOLE 222 4660 Genelabs Technologies Inc COM 368706107 29 19000 SH SOLE 19000 General Electric Co COM 369604103 756 25351 SH SOLE 5159 20192 Gillette Co COM 375766102 281 8800 SH SOLE 1500 7300 Global Crossing Ltd Bb COM G3921A100 0 11751 SH SOLE 11751 Go Call Inc Com COM 380163105 0 35000 SH SOLE 35000 Gtech Holdings Corp COM 400518106 247 5771 SH SOLE 5771 Helen Of Troy Ltd-Bermuda COM g4388n106 263 10800 SH SOLE 10800 Home Depot Inc Com COM 437076102 497 15593 SH SOLE 248 15345 Hot Topic Inc Com COM 441339108 650 28840 SH SOLE 22540 6300 Hovnanian Enterprises Inc-Cl A COM 442487203 644 10000 SH SOLE 10000 Inca Pacific Resources Inc COM 45324a101 4 52500 SH SOLE 52500 Infonet Svcs Corp Cl B COM 45666T106 208 100000 SH SOLE 100000 Integra Lifesciences Holdings COM 457985208 297 10500 SH SOLE 10500 Intel Corp COM 458140100 1045 37969 SH SOLE 2666 35303 International Business Machine COM 459200101 1968 22275 SH SOLE 1150 21125 International Food Products Gr COM 45952r103 41 142667 SH SOLE 142667 International Game Technology COM 459902102 1273 45226 SH SOLE 24526 20700 Iron Mtn Inc Pa Com COM 462846106 215 6000 SH SOLE 6000 Itronics Inc COM 465743102 5 42750 SH SOLE 42750 J P Morgan Chase + Co Com COM 46625H100 344 10021 SH SOLE 21 10000 Jacobs Engineering Group Inc COM 469814107 3838 85100 SH SOLE 85100 Jds Uniphase Corp Com COM 46612j101 457 126962 SH SOLE 3822 123140 Johnson & Johnson COM 478160104 400 8073 SH SOLE 2200 5873 Jupiter Media Metrix Inc COM 48206u104 0 40000 SH SOLE 40000 K Mart Corp COM 482584109 0 274950 SH SOLE 65000 209950 K Swiss Inc A Cl A COM 482686102 768 21347 SH SOLE 11347 10000 Kaiser Aluminum Corp COM 483007100 1 17500 SH SOLE 17500 King Pharmaceuticals Inc COM 495582108 240 15866 SH SOLE 0 15866 Kroger Co Com COM 501044101 3350 187486 SH SOLE 1000 186486 Lam Resh Corp Com COM 512807108 458 20657 SH SOLE 20657 Largo Vista Group Ltd COM 517104105 2 100000 SH SOLE 100000 Lee Enterprises Inc Com COM 523768109 213 5500 SH SOLE 300 5200 Leisure Canada Inc COM 524911104 3 10000 SH SOLE 10000 Lowes Cos Inc Usd0.50 COM 548661107 1712 32982 SH SOLE 13512 19470 Lucent Technologies Inc COM 549463107 148 68368 SH SOLE 2025 66343 Maii Holdings Inc COM 55265b109 1 28000 SH SOLE 28000 Mandalay Resort Group Com COM 562567107 227 5731 SH SOLE 31 5700 Manhattan Minerals Corp-B C COM 56310p101 9 10000 SH SOLE 10000 Manufactured Home Communities COM 564682102 353 9000 SH SOLE 9000 Manulife Financial Corp COM 56501r106 948 32799 SH SOLE 32799 Marsh + Mclennan Cos Inc Com COM 571748102 492 10330 SH SOLE 10132 198 Martek Biosciences Corp COM 572901106 790 15000 SH SOLE 15000 Maxworldwide Inc Com COM 577940109 201 299889 SH SOLE 299889 May Department Stores Co COM 577778103 204 8277 SH SOLE 900 7377 Mcclatchy Co Cl A COM 579489105 202 3400 SH SOLE 3400 Med Diversified Inc COM 58401N102 0 10000 SH SOLE 10000 Memc Electronic Materials Inc COM 552715104 1105 101258 SH SOLE 101258 Merck & Co Inc COM 589331107 581 11485 SH SOLE 3662 7823 Mercury Interactive Corp Com COM 589405109 906 19953 SH SOLE 15753 4200 Merrill Lynch & Co Inc COM 590188108 444 8298 SH SOLE 2825 5473 Metasolv Inc Com COM 59139P104 38 16900 SH SOLE 16900 Mgm Mirageinc Com COM 552953101 204 5578 SH SOLE 5578 Microsoft Corp COM 594918104 1710 61535 SH SOLE 5500 56035 Morgan Stanley Eastn Com COM 616988101 225 9000 SH SOLE 9000 Navigator Exploration Corp COM 638932103 5 20000 SH SOLE 20000 Nbi Inc New COM 628735201 2 13798 SH SOLE 13798 Network Appliance Inc Com COM 64120L104 565 27510 SH SOLE 18496 9014 Nevsun Resources Ltd COM 64156l101 38 10000 SH SOLE 10000 Newmont Mng Corp Com COM 651639106 822 21031 SH SOLE 18 21013 Nortel Networks Corp COM 656568102 815 198806 SH SOLE 15322 183484 Novellus Sys Inc Com COM 670008101 200 5930 SH SOLE 977 4953 Ntm Inc COM 629408105 0 30000 SH SOLE 30000 Nvid International Inc COM 62944y104 0 10000 SH SOLE 10000 Odyssey Resources Limted COM P73515101 4 20000 SH SOLE 20000 Omnicom Group Com COM 681919106 917 12768 SH SOLE 8468 4300 Oracle Corp COM 68389x105 491 43721 SH SOLE 8516 35205 Orezone Resources Inc COM 685921108 7 10000 SH SOLE 10000 Overstock Com Inc Del COM 690370101 194 13000 SH SOLE 13000 P Com Inc COM 693262206 15 70000 SH SOLE 70000 Palatin Technols Inc Com New COM 696077304 140 29144 SH SOLE 29144 Paychex Inc Com COM 704326107 555 16360 SH SOLE 15972 388 Pec Solutions Inc Com COM 705107100 201 13598 SH SOLE 13598 Pfizer Inc Com COM 717081103 1137 37434 SH SOLE 13723 23711 Pharmaceutical Res Com COM 717125108 205 3000 SH SOLE 3000 Placer Dome Inc Com COM 725906101 963 70000 SH SOLE 70000 Pmc-Sierra Inc COM 69344f106 145 11000 SH SOLE 11000 Qualcomm Inc Com COM 747525103 350 8414 SH SOLE 1527 6887 Quantum Corp Dssg Com COM 747906204 98 31700 SH SOLE 31700 Quicklogic Corp Com COM 74837P108 168 25300 SH SOLE 25300 Qwest Communications Internati COM 749121109 35 10293 SH SOLE 2000 8293 R G S Energy Group Inc COM 74956k104 1775 55283 SH SOLE 55283 Rambus Inc Del Com COM 750917106 1441 85894 SH SOLE 85894 Rf Microdevices Inc Com COM 749941100 930 100100 SH SOLE 100100 Rite Aid Corp Com COM 767754104 525 101693 SH SOLE 101693 Schnitzer Steel Industries Inc COM 806882106 602 20038 SH SOLE 38 20000 Scientific Atlanta Inc Com COM 808655104 290 9315 SH SOLE 9315 Sei Investments Co Com COM 784117103 873 26862 SH SOLE 20837 6025 Siebel Systems Inc COM 826170102 110 11325 SH SOLE 3629 7696 Smarttalk Teleservices Com COM 83169a100 0 50000 SH SOLE 50000 Staples Inc Com COM 855030102 995 41914 SH SOLE 31034 10880 Starbucks Corp Com COM 855244109 250 8690 SH SOLE 8690 Stornoway Diamond Corp COM 86222q103 12 10000 SH SOLE 10000 Sun Microsystems Inc COM 866810104 201 60749 SH SOLE 13770 46979 Symantec Corp Com COM 871503108 1185 18807 SH SOLE 15407 3400 Synopsys Inc Com COM 871607107 762 24754 SH SOLE 17154 7600 Take Two Interactive Software COM 874054109 206 6035 SH SOLE 35 6000 Tanisys Technology Inc COM 875927105 0 38750 SH SOLE 38750 Tenneco Automotive Inc COM 880349105 94 15000 SH SOLE 15000 Trc Cos Inc Com COM 872625108 198 12000 SH SOLE 12000 Turbodyne Technologies Inc COM 899905103 3 30000 SH SOLE 30000 United Parcel Svc Inc Cl B COM 911312106 2565 40200 SH SOLE 40200 Universal Health Svcs Inc Cl B COM 913903100 243 4915 SH SOLE 215 4700 Us Bancorp Del Com New COM 902973304 3311 138030 SH SOLE 30 138000 Utstarcom Inc Com COM 918076100 736 23139 SH SOLE 13609 9530 V3 Semicon Inc Com COM 918392101 151 627470 SH SOLE 16000 611470 Varian Medical Systems Inc COM 92220p105 287 5000 SH SOLE 5000 Vasomedical Inc Com COM 922321104 9 10000 SH SOLE 10000 Verizon Communications COM 92343v104 244 7528 SH SOLE 2330 5198 Vignette Corp Com COM 926734104 46 20000 SH SOLE 20000 Vrb Power Systems Inc COM 91829g102 35 60000 SH SOLE 60000 Wal-Mart De Mexico Sa De Cv Cl COM p98180105 505 175000 SH SOLE 175000 Wal-Mart Stores Inc COM 931142103 213 3809 SH SOLE 3809 Washington Mutual Inc COM 939322103 12619 320518 SH SOLE 1515 319003 Waters Corp Com COM 941848103 451 16438 SH SOLE 16438 Wells Fargo & Co-New COM 949746101 460 8929 SH SOLE 127 8802 Western Digital Corp Com COM 958102105 424 32900 SH SOLE 6000 26900 Westfield America Inc COM 959910100 210 14322 SH SOLE 2000 12322 Xerox Corp Com COM 984121103 382 37200 SH SOLE 37200 Xl Capital Ltd-Cl A COM g98255105 481 6209 SH SOLE 9 6200 csuspvst COM 117 35000 SH SOLE 35000 Allianz Aktiengesellsc Sp Adr 018805101 265 30000 SH SOLE 30000 Bhp Billiton Ltd Sponsored Adr 088606108 1007 71000 SH SOLE 71000 Canon Inc Adr Repstg 5 Shs 138006309 541 11101 SH SOLE 11101 Deutsche Telekom Ag Sponsored 251566105 355 24600 SH SOLE 24600 Honda Motor Ltd Adr Amer Shs 438128308 613 30387 SH SOLE 29587 800 Hong Kong & China Gas Ltd Spon 438550303 71 52724 SH SOLE 52724 Huaneng Power Intl Inc Sponsor 443304100 1492 27275 SH SOLE 27275 Nokia Corp Sponsored Adr 654902204 647 41489 SH SOLE 30371 11118 Taiwan Semiconductor Mfg Co Lt 874039100 714 65934 SH SOLE 67 65867 Diamonds Trust-Unit Series 1 252787106 448 4812.000 SH SOLE 913.000 3899.000 Ishares Inc Msci Japan 464286848 367 41843.000SH SOLE 37143.000 4700.000 Ishares Trust Dow Jones Us Fin 464287770 258 2775.000 SH SOLE 2775.000 Ishares Trust S&p Smallcap 600 464287804 540 4600.000 SH SOLE 4600.000 Nasdaq 100 Shares Unit Ser 1 631100104 721 22238.000SH SOLE 3465.000 18773.000 Sector Spdr Tr Technology 81369Y803 869 47533.000SH SOLE 37600.000 9933.000 Standard & Poors Depository Re 78462f103 2035 20361.000SH SOLE 4670.000 15691.000 Baxter International Inc 7.00% 071813406 242 4600 SH SOLE 4600 Aberdeen Australia Eqt Com 003011103 76 10000.000SH SOLE 10000.000 American Funds Investment Co A 461308108 207 7990.384 SH SOLE 7990.384 Blue Chip Value Fund Inc 095333100 160 27655.000SH SOLE 27655.000 Combined Penny Stock Fund Inc 200243103 0 10900.000SH SOLE 10900.000 Gabelli Conv & Income Conv Sec 36240B109 101 10203.000SH SOLE 10203.000 Gabelli Equity Trust Inc 362397101 229 31414.000SH SOLE 31414.000 Hollencrest Equity Fund 007989650 13851 821512.726SH SOLE 248274.639 573238.087 Jennison Sector Fds Inc Util F 476294848 142 17662.058SH SOLE 17662.058 Julius Baer International Equi 481370500 625 26927.157SH SOLE 26927.157 Liberty All-Star Equity Fund S 530158104 269 31950.000SH SOLE 31950.000 Liberty All-Star Growth Fund I 529900102 752 121233.000SH SOLE 6500.000 114733.000 Matthews China Fund 577130701 318 26912.815SH SOLE 26912.815 Olstein Financial Alert Fund C 681383105 197 13813.000SH SOLE 13813.000 Pimco Corporate Opp Fd Com 72201b101 251 15324.000SH SOLE 15324.000 Pimco Fds Pac Invt Mgmt Ser Em 693391559 519 46796.199SH SOLE 46796.199 Pimco Floating Rate Income Fun 72201h108 770 38500.000SH SOLE 22500.000 16000.000 Pimco Mun Income Fund Iii 72201a103 265 18666.000SH SOLE 4666.000 14000.000 Pimco Pea Innovation Class C 693389447 209 14993.336SH SOLE 1638.534 13354.802 Pimco Pea Renaissance -Cl C 693389249 331 18156.953SH SOLE 18156.953 Royce Micro-Cap Trust Inc 780915104 3144 285849.000SH SOLE 5000.000 280849.000 Tcw Convertible Securities Fun 872340104 240 52900.000SH SOLE 52900.000 Zweig Fund Inc 989834106 426 91277.000SH SOLE 91277.000 Nicholas-Applegate Conv & Inco 65370f101 2801 186951.000SH SOLE 52501.000 134450.000 Pimco California Municipal Inc 72201c109 4355 319716.000SH SOLE 74057.000 245659.000 Pimco Corporate Opp Fd Com 72201b101 8630 526891.000SH SOLE 126300.000 400591.000 Ewco Swaption Jan118 Call (out 317501QV9 39 7500000 SH SOLE 7500000
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