William A. Pekin

PEKIN HARDY STRAUSS

Chicago, IL 60606

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CRD#: 2067982

Professional summary

William Andrew Pekin, who also goes by Bill Pekin, is a registered financial advisor currently at PEKIN HARDY STRAUSS, INC. located in Chicago, Illinois.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. William has worked at 6 firms and has passed the Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bill Pekin

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Andrew Pekin's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 19, 2004 - Present

PEKIN HARDY STRAUSS, INC.

Office #1: 227 West Monroe Street Suite 3625, Chicago, IL 60606

RIA

CRD#: 107310

Chicago, IL

Past

July 3, 2001 - December 31, 2007

SF INVESTMENTS, INC.

CRD#: 6564

CHICAGO, IL

Past

December 18, 2000 - May 22, 2001

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

August 14, 2000 - December 18, 2000

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

June 22, 1999 - September 30, 1999

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

August 22, 1996 - June 26, 1998

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

March 28, 1994 - November 22, 1996

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

March 28, 1994 - November 22, 1996

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PEKIN HARDY STRAUSS, INC.

APPLESEED CAPITAL | PEKIN SINGER STRAUSS ASSET MANAGEMENT INC. | PEKIN SINGER & SHAPIRO ASSET MANAGEMENT INC | PEKIN HARDY STRAUSS, INC. | APPLESEED PIONEER GP, LLC

CRD#: 107310 / SEC#: 801-35684

RIA

Registered Investment Advisory firm - (12/29/1989 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Georgia
(3/28/2016)

IAR

Illinois
(10/19/2004)

IAR

Texas
(4/19/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 4/8/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/18/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/18/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PEKIN HARDY STRAUSS, INC.

APPLESEED CAPITAL | PEKIN SINGER STRAUSS ASSET MANAGEMENT INC. | PEKIN SINGER & SHAPIRO ASSET MANAGEMENT INC | PEKIN HARDY STRAUSS, INC. | APPLESEED PIONEER GP, LLC

CRD#: 107310 / SEC#: 801-35684

RIA

Registered Investment Advisory firm - (12/29/1989 Approved)

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Contact information

Main Address

227 West Monroe Street Suite 3625, Chicago, IL 60606

Mailing Address

Phone number

(312) 554-7525

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (25 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A AUGUST 2025 (8/22/2025)

ADV PART 2A 2024 (3/24/2025)

Regulatory assets under management

Total Number of Accounts	1,821
AUM (Assets Under Management)	$ 1,144,100,534

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/26/2025	Cover Page	Report
09/25/2024	Cover Page	Report
10/18/2023	Cover Page	Report
01/20/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

William A. Pekin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Andrew Pekin's CRS (Customer Relationship Summary).

Certified licenses

Experience

SF INVESTMENTS, INC.

CREDIT SUISSE SECURITIES (USA) LLC

PERSHING LLC

PERSHING LLC

PERSHING LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

PEKIN HARDY STRAUSS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/8/1994

Series 7

Date: 10/18/1994

Series 6

Date: 3/18/1994

Current Firm

PEKIN HARDY STRAUSS, INC.

Contact information

SEC notice filing (25 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PEKIN HARDY STRAUSS, INC.

TRUST BUT VERIFY

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