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| CIK | 1029730 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Osaic Financial Services, Inc. - Corporate Bond/Note
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| April 29, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K/A Amendment No. 1 [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Ladenburg Thalmann Financial Services In |
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| March 13, 2020 |
Description of Registered Securities EXHIBIT 4.15 DESCRIPTION OF REGISTERD SECURITIES Ladenburg Thalmann Financial Services Inc. (“Ladenburg”, the “Company”, “we”, “our” or “us”) had six classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) as of December 31, 2019: our common stock, par value $0.0001 per share (the “Common Stock”), our 8.00% Series A Cumulative Redee |
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| March 13, 2020 |
Exhibit 21 SUBSIDIARIES OF REGISTRANT The following are wholly-owned subsidiaries of the registrant: NAME STATE OF ORGANIZATION HCHC Acquisition Inc. |
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| March 13, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended December 31, 2019 Commission File Number 1-15799 LADENBURG THALMANN FINANCIAL SERVICES INC. (Exact Name Of Registrant As Specified In Its Charter) Florida 65-0701248 (State or other jurisdiction of incorpora |
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| March 5, 2020 |
LTS / Ladenburg Thalmann Financial Services, Inc. 15-12G - - 15-12G 1 form15-12g.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 001-15799 Ladenburg Thalmann Financial Services Inc. |
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| February 25, 2020 |
LTS / Ladenburg Thalmann Financial Services, Inc. / VECTOR GROUP LTD - SC 13D/A Activist Investment SC 13D/A 1 d857449dsc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 14)* LADENBURG THALMANN FINANCIAL SERVICES INC. (Name of Issuer) Common Stock, Par Value $.0001 Per Share (Title of class of securities) 50575Q 10 2 (CUSIP number) J. Bryant Kirkland III Vector Group Ltd. 4400 Biscayne |
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| February 24, 2020 |
LTS / Ladenburg Thalmann Financial Services, Inc. 25 - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 001-15799 Ladenburg Thalmann Financial Services Inc. NYSE American (Exact name of Issuer as specified in its charter, and name of Exchange where security is listed and/or register |
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| February 24, 2020 |
LTS / Ladenburg Thalmann Financial Services, Inc. 15-12G - - 15-12G 1 form15-12g.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 001-15799 Ladenburg Thalmann Financial Services Inc. |
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| February 19, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* LADENBURG THALMANN FINANCIAL SERVICES INC. (Name of Issuer) Common Stock, Par Value $.0001 Per Share (Title of class of securities) 50575Q 10 2 (CUSIP number) Jamie Price Advisor Group Holdings, Inc. 20 East Thomas Road, Suite 2000 Phoenix, Arizona 85012 |
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| February 18, 2020 |
As filed with the Securities and Exchange Commission on February 14, 2020 As filed with the Securities and Exchange Commission on February 14, 2020 No. 333-198056 No. 333-163007 No. 333-147386 No. 333-139254 No. 333-139247 No. 333-139246 No. 333-130024 No. 333-124366 No. 333-101361 No. 333-101360 No. 333-82688 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 1 to Form S-8 Registration Statement No. 333-198056 Post-Effe |
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| February 18, 2020 |
As filed with the Securities and Exchange Commission on February 14, 2020 As filed with the Securities and Exchange Commission on February 14, 2020 No. 333-198056 No. 333-163007 No. 333-147386 No. 333-139254 No. 333-139247 No. 333-139246 No. 333-130024 No. 333-124366 No. 333-101361 No. 333-101360 No. 333-82688 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 1 to Form S-8 Registration Statement No. 333-198056 Post-Effe |
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| February 18, 2020 |
As filed with the Securities and Exchange Commission on February 14, 2020 As filed with the Securities and Exchange Commission on February 14, 2020 No. 333-198056 No. 333-163007 No. 333-147386 No. 333-139254 No. 333-139247 No. 333-139246 No. 333-130024 No. 333-124366 No. 333-101361 No. 333-101360 No. 333-82688 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 1 to Form S-8 Registration Statement No. 333-198056 Post-Effe |
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| February 18, 2020 |
As filed with the Securities and Exchange Commission on February 14, 2020 As filed with the Securities and Exchange Commission on February 14, 2020 No. 333-198056 No. 333-163007 No. 333-147386 No. 333-139254 No. 333-139247 No. 333-139246 No. 333-130024 No. 333-124366 No. 333-101361 No. 333-101360 No. 333-82688 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 1 to Form S-8 Registration Statement No. 333-198056 Post-Effe |
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| February 18, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 14, 2020 LADENBURG THALMANN FINANCIAL SERVICES INC. (Exact name of registrant as specified in its charter) Florida 001-15799 65-0701248 (State or other jurisdiction of incorp |
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| February 18, 2020 |
LTS / Ladenburg Thalmann Financial Services, Inc. POS AM - - As filed with the Securities and Exchange Commission on February 14, 2020 No. 333-216733 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 1 to Form S-3 Registration Statement No. 333-216733 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 LADENBURG THALMANN FINANCIAL SERVICES INC. (Exact name of registrant as specified in its charter) Flor |
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| February 18, 2020 |
As filed with the Securities and Exchange Commission on February 14, 2020 As filed with the Securities and Exchange Commission on February 14, 2020 No. 333-198056 No. 333-163007 No. 333-147386 No. 333-139254 No. 333-139247 No. 333-139246 No. 333-130024 No. 333-124366 No. 333-101361 No. 333-101360 No. 333-82688 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 1 to Form S-8 Registration Statement No. 333-198056 Post-Effe |
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| February 18, 2020 |
As filed with the Securities and Exchange Commission on February 14, 2020 As filed with the Securities and Exchange Commission on February 14, 2020 No. 333-198056 No. 333-163007 No. 333-147386 No. 333-139254 No. 333-139247 No. 333-139246 No. 333-130024 No. 333-124366 No. 333-101361 No. 333-101360 No. 333-82688 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 1 to Form S-8 Registration Statement No. 333-198056 Post-Effe |
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| February 18, 2020 |
Exhibit 99.2 ADVISOR GROUP ANNOUNCES COMPLETION OF MERGER WITH LADENBURG THALMANN FINANCIAL SERVICES TO CREATE INDUSTRY’S LARGEST NETWORK OF WEALTH MANAGEMENT FIRMS Transaction Expands Advisor Group’s Industry Leadership, with Approximately 11,300 Affiliated Financial Advisors and Over $450 Billion in Client Assets Company Reaffirms Commitment to Multi-Brand Network Model Delivering Benefits of Bo |
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| February 18, 2020 |
As filed with the Securities and Exchange Commission on February 14, 2020 As filed with the Securities and Exchange Commission on February 14, 2020 No. 333-198056 No. 333-163007 No. 333-147386 No. 333-139254 No. 333-139247 No. 333-139246 No. 333-130024 No. 333-124366 No. 333-101361 No. 333-101360 No. 333-82688 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 1 to Form S-8 Registration Statement No. 333-198056 Post-Effe |
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| February 18, 2020 |
LTS / Ladenburg Thalmann Financial Services, Inc. S-8 POS - - As filed with the Securities and Exchange Commission on February 14, 2020 No. 333-198056 No. 333-163007 No. 333-147386 No. 333-139254 No. 333-139247 No. 333-139246 No. 333-130024 No. 333-124366 No. 333-101361 No. 333-101360 No. 333-82688 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 1 to Form S-8 Registration Statement No. 333-198056 Post-Effe |
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| February 18, 2020 |
Exhibit 99.1 Ladenburg Thalmann Announces Intention to Delist Certain of Its Securities MIAMI, February 14, 2020 — Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA, LTSL, LTSF, LTSK, LTSH) (“Ladenburg”) today announced that it intends to delist certain of its securities and has provided the below notice to holders of its 8.00% Series A Cumulative Redeemable Preferred Stock ( |
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| February 18, 2020 |
As filed with the Securities and Exchange Commission on February 14, 2020 As filed with the Securities and Exchange Commission on February 14, 2020 No. 333-198056 No. 333-163007 No. 333-147386 No. 333-139254 No. 333-139247 No. 333-139246 No. 333-130024 No. 333-124366 No. 333-101361 No. 333-101360 No. 333-82688 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 1 to Form S-8 Registration Statement No. 333-198056 Post-Effe |
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| February 18, 2020 |
LTS / Ladenburg Thalmann Financial Services, Inc. S-8 POS - - As filed with the Securities and Exchange Commission on February 14, 2020 No. 333-198056 No. 333-163007 No. 333-147386 No. 333-139254 No. 333-139247 No. 333-139246 No. 333-130024 No. 333-124366 No. 333-101361 No. 333-101360 No. 333-82688 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 1 to Form S-8 Registration Statement No. 333-198056 Post-Effe |
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| February 18, 2020 |
As filed with the Securities and Exchange Commission on February 14, 2020 As filed with the Securities and Exchange Commission on February 14, 2020 No. 333-198056 No. 333-163007 No. 333-147386 No. 333-139254 No. 333-139247 No. 333-139246 No. 333-130024 No. 333-124366 No. 333-101361 No. 333-101360 No. 333-82688 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 1 to Form S-8 Registration Statement No. 333-198056 Post-Effe |
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| February 14, 2020 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES NYSE American LLC hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on February 25, 2020, pursuant to the provisions of Rule 12d2-2 (a). |
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| February 4, 2020 |
LTS / Ladenburg Thalmann Financial Services, Inc. / Halpryn Glenn L - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Ladenburg Thalmann Financial Services Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 50575Q 10 2 (CUSIP Number) December 31, 2019 (Date of Event which Requires Filing of this Statement) Check the a |
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| January 31, 2020 |
LADENBURG SHAREHOLDERS APPROVE MERGER WITH ADVISOR GROUP Exhibit 99.1 LADENBURG SHAREHOLDERS APPROVE MERGER WITH ADVISOR GROUP MIAMI, January 31, 2020 – Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA, LTSL, LTSF, LTSK, LTSH) (“Ladenburg”) and Advisor Group today announced that at a special meeting of Ladenburg’s shareholders held January 30, 2020, Ladenburg’s shareholders overwhelmingly voted to approve the merger of Ladenburg a |
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| January 31, 2020 |
Submission of Matters to a Vote of Security Holders, Other Events, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 31, 2020 (January 30, 2020) Ladenburg Thalmann Financial Services Inc. (Exact Name of Registrant as Specified in Charter) Florida 001-15799 650701248 (State or Other Jurisdict |
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| January 7, 2020 |
LTS / Ladenburg Thalmann Financial Services, Inc. DEFA14A - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Rule 14a-101) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ |
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| December 26, 2019 |
LTS / Ladenburg Thalmann Financial Services, Inc. DEFM14A - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Rule 14a-101) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ |
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| December 6, 2019 |
LTS / Ladenburg Thalmann Financial Services, Inc. PREM14A - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Rule 14a-101) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [X] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ |
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| November 21, 2019 |
Exhibit 2 EXECUTION VERSION VOTING AGREEMENT This VOTING AGREEMENT (this “Agreement”) dated November 11, 2019, among Advisor Group Holdings, Inc. |
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| November 21, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 LADENBURG THALMANN FINANCIAL SERVICES INC. (Name of Issuer) Common Stock, Par Value $.0001 Per Share (Title of class of securities) 50575Q 10 2 (CUSIP number) Jamie Price Advisor Group Holdings, Inc. 20 East Thomas Road, Suite 2000 Phoenix, Arizona 85012 (602) 744 - 3280 ( |
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| November 21, 2019 |
LTS / Ladenburg Thalmann Financial Services, Inc. DEFA14A - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] |
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| November 14, 2019 |
EXECUTION VERSION AGREEMENT AND PLAN OF MERGER by and among LADENBURG THALMANN FINANCIAL SERVICES INC. |
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| November 14, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 14, 2019 (November 11, 2019) Ladenburg Thalmann Financial Services Inc. (Exact Name of Registrant as Specified in Charter) Florida 001-15799 650701248 (State or Other Jurisdi |
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| November 14, 2019 |
EXECUTION VERSION AGREEMENT AND PLAN OF MERGER by and among LADENBURG THALMANN FINANCIAL SERVICES INC. |
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| November 14, 2019 |
LTS / Ladenburg Thalmann Financial Services, Inc. DEFA14A - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 14, 2019 (November 11, 2019) Ladenburg Thalmann Financial Services Inc. (Exact Name of Registrant as Specified in Charter) Florida 001-15799 650701248 (State or Other Jurisdi |
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| November 13, 2019 |
Execution Version VOTING AGREEMENT This VOTING AGREEMENT (this “Agreement”) dated November 11, 2019, among Advisor Group Holdings, Inc. |
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| November 13, 2019 |
LTS / Ladenburg Thalmann Financial Services, Inc. / VECTOR GROUP LTD - SC 13D/A Activist Investment SC 13D/A 1 lts13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 13)* LADENBURG THALMANN FINANCIAL SERVICES INC. (Name of Issuer) Common Stock, Par Value $.0001 Per Share (Title of class of securities) 50575Q 10 2 (CUSIP number) J. Bryant Kirkland III Vector Group Ltd. 4400 Biscayne Bouleva |
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| November 12, 2019 |
LTS / Ladenburg Thalmann Financial Services, Inc. DEFA14A - - DEFA14A 1 defa14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Prelimina |
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| November 12, 2019 |
LTS / Ladenburg Thalmann Financial Services, Inc. DEFA14A - - DEFA14A 1 defa14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Prelimina |
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| November 12, 2019 |
LTS / Ladenburg Thalmann Financial Services, Inc. DEFA14A - - DEFA14A 1 defa14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Prelimina |
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| November 12, 2019 |
LTS / Ladenburg Thalmann Financial Services, Inc. DEFA14A - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] |
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| November 12, 2019 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 11, 2019 Ladenburg Thalmann Financial Services Inc. (Exact Name of Registrant as Specified in Charter) Florida 001-15799 650701248 (State or Other Jurisdiction of Incorporati |
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| November 12, 2019 |
ADVISOR GROUP AND LADENBURG THALMANN ANNOUNCE MERGER TO CREATE A WEALTH MANAGEMENT INDUSTRY LEADER WITH NEARLY 11,500 FINANCIAL ADVISORS AND OVER $450 BILLION IN CLIENT ASSETS The Companies Will Form Leading Multi-Custodial and Multi-Clearing Network of Firms, Supporting Financial Advisors Through Multiple Distinct Brands and Cultures Highly Complementary Capabilities and Talent to Drive Enhanceme |
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| November 8, 2019 |
LADENBURG REPORTS THIRD QUARTER 2019 FINANCIAL RESULTS EXHIBIT 99.1 LADENBURG REPORTS THIRD QUARTER 2019 FINANCIAL RESULTS Highlights: • Third quarter 2019 revenues of $374.5 million, up 7.4% compared to prior year period • Nine month 2019 revenues of $1.074 billion, up 3.6% compared to prior year period • Third quarter 2019 net income of $11.3 million and EBITDA, as adjusted, of $31.1 million • Nine month 2019 net income of $22.2 million and EBITDA, |
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| November 8, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 8, 2019 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 650701248 (State or other jurisdiction of incorpor |
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| November 8, 2019 |
LTS / Ladenburg Thalmann Financial Services, Inc. 10-Q - Quarterly Report - 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-15799 Ladenburg Tha |
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| August 8, 2019 |
99.1 Ladenburg Thalmann Financial Services Inc. Investor Presentation. |
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| August 8, 2019 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 8, 2019 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 650701248 (State or other jurisdiction of incorporat |
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| August 8, 2019 |
Results of Operations and Financial Condition, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 8, 2019 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 650701248 (State or other jurisdiction of incorporat |
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| August 8, 2019 |
LADENBURG REPORTS SECOND QUARTER 2019 FINANCIAL RESULTS EXHIBIT 99.1 LADENBURG REPORTS SECOND QUARTER 2019 FINANCIAL RESULTS Highlights: ● Second quarter 2019 revenues of $363.6 million, up 1.6% compared to prior year period ● Six month 2019 revenues of $699.0 million, up 1.7% compared to prior year period ● Second quarter 2019 net income of $7.5 million and EBITDA, as adjusted, of $27 million ● Six month 2019 net income of $10.9 million and EBITDA, as |
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| August 8, 2019 |
LTS / Ladenburg Thalmann Financial Services, Inc. 10-Q - Quarterly Report - 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-15799 Ladenburg Thalmann |
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| June 14, 2019 |
Submission of Matters to a Vote of Security Holders 8-K 1 form8-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 13, 2019 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 65-0701248 (State or other jurisdic |
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| May 29, 2019 |
LTS / Ladenburg Thalmann Financial Services, Inc. 8-A12B - - 8-A12B 1 form8-a12b.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 LADENBURG THALMANN FINANCIAL SERVICES INC. (Exact name of registrant as specified in its charter) Florida 65-0701248 (State of incorporation or organization) (I.R.S. Employe |
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| May 29, 2019 |
8-K 1 form8-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 29, 2019 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 65-0701248 (State or other jurisdict |
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| May 29, 2019 |
Ladenburg Thalmann Financial Services Inc. and U.S. Bank National Association, as Trustee FOURTH SUPPLEMENTAL INDENTURE Dated as of May 29, 2019 to the Indenture dated as of November 21, 2017 7.75% Senior Notes due 2029 TABLE OF CONTENTS Page Article 1 APPLICATION OF FOURTH SUPPLEMENTAL INDENTURE 2 Section 1.01. Application of Fourth Supplemental Indenture. 2 Article 2 DEFINITIONS 2 Section 2.01. |
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| May 23, 2019 |
Filed pursuant to Rule 424(b)(5) Registration No. 333-216733 PROSPECTUS SUPPLEMENT (To Prospectus dated April 27, 2017) $50,000,000 7.75% Senior Notes due 2029 Ladenburg Thalmann Financial Services Inc. is offering $50,000,000 principal amount of our 7.75% Senior Notes due 2029 (the “Notes”) as described in this prospectus supplement and the accompanying base prospectus. Interest on the Notes will |
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| May 23, 2019 |
EXHIBIT 1.1 LADENBURG THALMANN FINANCIAL SERVICES INC. 7.75% SENIOR NOTES DUE 2029 UNDERWRITING AGREEMENT May 21, 2019 UBS SECURITIES LLC MORGAN STANLEY & CO. LLC RBC CAPITAL MARKETS, LLC As Representatives of the several Underwriters named in Schedule A hereto c/o UBS Securities LLC 1285 Avenue of the Americas New York, New York 10019 c/o Morgan Stanley & Co. LLC 1585 Broadway, 29th Floor New Yor |
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| May 23, 2019 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 21, 2019 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 65-0701248 (State or other jurisdiction of incorporati |
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| May 22, 2019 |
Issuer Free Writing Prospectus dated May 21, 2019 Filed pursuant to Rule 433 Registration No. |
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| May 21, 2019 |
Filed pursuant to Rule 424(b)(5) Registration No. 333-216733 The information in this preliminary prospectus supplement and the accompanying prospectus is not complete and may be changed. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell these securities, and they are not soliciting an offer to buy these securities, in any jurisdiction where the offer o |
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| May 9, 2019 |
99.1 Ladenburg Thalmann Financial Services Inc. Investor Presentation. |
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| May 9, 2019 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K 1 form8-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 9, 2019 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 650701248 (State or other jurisdictio |
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| May 9, 2019 |
EXHIBIT 99.1 LADENBURG REPORTS FIRST QUARTER 2019 FINANCIAL RESULTS ANNOUNCES ADDITIONAL 10 MILLION SHARE STOCK REPURCHASE PROGRAM Highlights: • First quarter 2019 revenues of $335.5 million, up 1.8% compared to prior year • First quarter 2019 net income of $3.4 million and EBITDA, as adjusted, of $20.4 million • Client assets of $172.6 billion at March 31, 2019, including record advisory assets u |
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| May 9, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 pressreleasecovermarch2019.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 9, 2019 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 650701248 (Sta |
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| May 9, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2019 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-15799 Ladenburg Thalman |
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| April 30, 2019 |
DEF 14A 1 def14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminar |
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| March 15, 2019 |
99.1 Ladenburg Thalmann Financial Services Inc. Investor Presentation. |
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| March 15, 2019 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K 1 form8-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 15, 2019 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 650701248 (State or other jurisdic |
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| March 15, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 15, 2019 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 650701248 (State or other jurisdiction of incorporat |
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| March 15, 2019 |
LADENBURG REPORTS FOURTH QUARTER AND FISCAL YEAR 2018 FINANCIAL RESULTS EXHIBIT 99.1 LADENBURG REPORTS FOURTH QUARTER AND FISCAL YEAR 2018 FINANCIAL RESULTS Highlights: • Fourth quarter 2018 revenues of $355.1 million, up 3% compared to prior year period • Fiscal year 2018 revenues of $1.4 billion, up 9.7% compared to prior year • Fourth quarter 2018 net income of $9.6 million, and EBITDA, as adjusted, of $29.1 million • Fiscal year 2018 net income of $33.8 million an |
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| March 15, 2019 |
Exhibit 21 SUBSIDIARIES OF REGISTRANT The following are wholly-owned subsidiaries of the registrant: NAME STATE OF ORGANIZATION HCHC Acquisition Inc. |
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| March 15, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended December 31, 2018 Commission File Number 1-15799 LADENBURG THALMANN FINANCIAL SERVICES INC. (Exact Name Of Registrant As Specified In Its Charter) Florida 65-0701248 (State or other jurisdiction of incorpora |
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| March 1, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 1, 2019 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 65-0701248 (State or other jurisdiction of incorporat |
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| February 11, 2019 |
LTS / Ladenburg Thalmann Financial Services, Inc. / Halpryn Glenn L - SC 13G Passive Investment SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Ladenburg Thalmann Financial Services Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 50575Q 10 2 (CUSIP Number) December 24, 2018 (Date of Event which Requires Filing of this Statement) Check the appr |
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| January 30, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 24, 2019 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 65-0701248 (State or other jurisdiction of incorpo |
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| December 28, 2018 |
Present Principal Occupation or Employment; Business Address EX-99.A EXHIBIT A EXECUTIVE OFFICERS AND DIRECTORS OF THE REPORTING PERSON The names, present principal occupations or employment and business addresses of the executive officers and directors of the Reporting Person are set forth below. If no address is given, the executive officer’s or director’s business address is that of the Reporting Person. Unless otherwise indicated, each occupation set fo |
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| December 28, 2018 |
LTS / Ladenburg Thalmann Financial Services, Inc. / VECTOR GROUP LTD - SC 13D/A Activist Investment SC 13D/A 1 d661052dsc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 12)* LADENBURG THALMANN FINANCIAL SERVICES INC. (Name of Issuer) Common Stock, par value $.0001 per share (Title of Class of Securities) 50575Q 10 2 (CUSIP Number) J. Bryant Kirkland III Vector Group Ltd. 4400 Biscayne |
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| December 27, 2018 |
LTS / Ladenburg Thalmann Financial Services, Inc. / FROST PHILLIP MD ET AL Activist Investment SC 13D/A 1 formsc13da.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 11)* LADENBURG THALMANN FINANCIAL SERVICES INC. (Name of Issuer) Common Stock, par value $.0001 per share (Title of Class of Securities) 50575Q 10 2 (CUSIP Number) Steven Rubin, Esq. 4400 Biscayne Boulevard Miami, Florida 33137 Te |
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| December 26, 2018 |
8-K 1 form8-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 24, 2018 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 65-0701248 (State or other juri |
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| December 26, 2018 |
EXHIBIT 10.1 AGREEMENT THIS AGREEMENT dated as of December 24, 2018 is by and among Phillip Frost, M.D. (“Frost”) and Frost Nevada Investments Trust (together with Frost, the “Sellers”) and Ladenburg Thalmann Financial Services Inc., a Florida corporation (“Ladenburg”). RECITALS: WHEREAS, the Sellers desires to sell an aggregate of 50,900,000 shares (the “Shares”) of the common stock, par value $0 |
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| December 26, 2018 |
Form of 7.25% Senior Note due 2028 issued to Phillip Frost, M.D. and Frost Nevada Investments Trust. EXHIBIT 4.1 THE SECURITIES REPRESENTED HEREBY HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR UNDER APPLICABLE STATE SECURITIES ACTS. THE SECURITIES HAVE BEEN ACQUIRED FOR INVESTMENT AND MAY NOT BE SOLD OR TRANSFERRED FOR VALUE IN THE ABSENCE OF AN EFFECTIVE REGISTRATION OF THEM UNDER THE SECURITIES ACT OF 1933, AS AMENDED, AND/OR ANY APPLICABLE STATE SECURITIES ACT OR AN |
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| December 26, 2018 |
EXHIBIT 10.2 December 24, 2018 Frost Gamma Investments Trust 4400 Biscayne Blvd. 15th Floor Miami, FL 33137 Attention: Steve Rubin and Veronica Miranda RE: Notice of Termination This letter, as detailed below, is a termination of that certain Credit Agreement (the “Credit Agreement”), dated as of November 8, 2017, by and between Ladenburg Thalmann Financial Services Inc. (the “Borrower”) and Frost |
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| December 26, 2018 |
Ladenburg Announces $130.25 Million Stock and Options Repurchase EXHIBIT 99.1 Ladenburg Announces $130.25 Million Stock and Options Repurchase MIAMI, FL, December 24, 2018 - Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA, LTSL, LTSF, LTSK) announced today that it repurchased 50.9 million shares of its common stock from its largest shareholder, Dr. Phillip Frost, and his affiliates. In addition, all of Dr. Frost’s 3.61 million stock opti |
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| November 7, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 pressreleasecoverseptembe.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 7, 2018 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 650701248 |
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| November 7, 2018 |
LADENBURG REPORTS THIRD QUARTER 2018 FINANCIAL RESULTS EXHIBIT 99.1 LADENBURG REPORTS THIRD QUARTER 2018 FINANCIAL RESULTS Highlights: • Third quarter 2018 revenues of $348.9 million, up 8.2% compared to prior year • Nine month 2018 revenues of $1.036 billion, up 12.1% compared to prior year • Third quarter 2018 net income of $9.4 million and EBITDA, as adjusted, of $25.3 million • Nine month 2018 net income of $24.2 million and EBITDA, as adjusted of |
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| November 7, 2018 |
Ladenburg Thalmann Financial Services Inc. Investor Presentation. |
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| November 7, 2018 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 7, 2018 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 650701248 (State or other jurisdiction of incorpor |
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| November 7, 2018 |
LTS / Ladenburg Thalmann Financial Services, Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2018 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-15799 Ladenburg Tha |
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| November 7, 2018 |
EXHIBIT 12.1 Ladenburg Thalmann Financial Services Inc. Ratio of Earnings to Fixed Charges and Ratio of Earnings to Combined Fixed Charges and Preferred Stock Dividends (dollars in thousands) (unaudited) Nine Months Ended September 30, Year Ended December 31, 2018 2017 2016 2015 2014 2013 Ratio of Earnings to Fixed Charges Income (loss) before income taxes $ 34,177 $ 1,180 $ (12,286 ) $ (11,695 ) |
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| November 6, 2018 |
Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (AMENDMENT NO. 1) CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 31, 2018 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 65-0701248 (State or other juri |
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| November 6, 2018 |
Exhibit 99.2 Unaudited Financial Statements KESTLER FINANCIAL GROUP, INC. Leesburg, Virginia June 30, 2018 Kestler Financial Group, Inc. TABLE OF CONTENTS UNAUDITED FINANCIAL STATEMENTS Balance Sheets 1-2 Statements of Income 3 Statement of Stockholder’s Equity 4 Statements of Cash Flows 5 Notes to Financial Statements 6-8 Kestler Financial Group, Inc. BALANCE SHEETS- ASSETS June 30, December 31, |
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| November 6, 2018 |
EXHIBIT 99.3 LADENBURG THALMANN FINANCIAL SERVICES INC. UNAUDITED PRO FORMA COMBINED CONDENSED FINANCIAL STATEMENTS The following unaudited pro forma combined condensed financial statements are based on the historical financial statements of Ladenburg Thalmann Financial Services Inc. (“LTS”) and Kestler Financial Group, Inc. (“KFG”), after giving effect to the acquisition of KFG by LTS using the p |
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| November 6, 2018 |
EXHIBIT 99.1 Audited Financial Statements Kestler Financial Group, Inc. Leesburg, Virginia December 31, 2017 and 2016 Kestler Financial Group, Inc. TABLE OF CONTENTS AUDITED FINANCIAL STATEMENTS Independent Auditor’s Report 1 Balance Sheets 2 Statements of Income 3 Statements of Stockholder’s Equity 4 Statements of Cash Flows 5 Notes to Financial Statements 6-12 INDEPENDENT AUDITOR’S REPORT To the |
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| October 3, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 2, 2018 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 65-0701248 (State or other jurisdiction of incorpor |
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| October 3, 2018 |
LADENBURG ANNOUNCES APPOINTMENT OF GLENN C. DAVIS TO ITS BOARD OF DIRECTORS EXHIBIT 99.1 LADENBURG ANNOUNCES APPOINTMENT OF GLENN C. DAVIS TO ITS BOARD OF DIRECTORS MIAMI, FL, October 3, 2018 – Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTSL, LTS PrA, LTSF, LTSK) announced today that it has appointed Glenn C. Davis, CPA, to the Company’s Board of Directors and its Audit Committee, effective immediately. With the addition of Mr. Davis, Ladenburg’s Boar |
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| September 28, 2018 |
8-K 1 form8-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 27, 2018 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 65-0701248 (State or other jur |
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| September 21, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 20, 2018 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 65-0701248 (State or other jurisdiction of incor |
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| September 21, 2018 |
LADENBURG ANNOUNCES CEO RICHARD LAMPEN TO SERVE AS CHAIRMAN EXHIBIT 99.1 FOR IMMEDIATE RELEASE LADENBURG ANNOUNCES CEO RICHARD LAMPEN TO SERVE AS CHAIRMAN MIAMI — September 20, 2018 — Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTSL, LTS PrA, LTSF, LTSK) (“Ladenburg”) announced today that its Board of Directors has appointed Richard Lampen, Ladenburg’s President and Chief Executive Officer, to serve as Chairman of the Board, replacing D |
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| September 7, 2018 |
EX-2.1 2 ex2-1.htm EXHIBIT 2.1 ASSET PURCHASE AGREEMENT by and among KESTLER FINANCIAL GROUP, INC. JASON A. KESTLER, and LADENBURG THALMANN ANNUITY INSURANCE SERVICES LLC dated as of August 31, 2018 TABLE OF CONTENTS ARTICLE I DEFINITIONS 1 ARTICLE II PURCHASE AND SALE 7 Section 2.1. Purchase and Sale of Assets 7 Section 2.2. Excluded Assets 8 Section 2.3. Assumed Liabilities 9 Section 2.4. Exclud |
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| September 7, 2018 |
EX-4.1 3 ex4-1.htm EXHIBIT 4.1 PROMISSORY NOTE $5,450,187.24 August 31, 2018 FOR VALUE RECEIVED, the undersigned, LADENBURG THALMANN ANNUITY INSURANCE SERVICES LLC, a Florida limited liability company (the “Maker”), promises to pay to KESTLER FINANCIAL GROUP, INC., a Virginia corporation (the “Payee”; Payee, and any subsequent holder(s) hereof, being hereinafter referred to collectively as “Holder |
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| September 7, 2018 |
8-K 1 form8-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 31, 2018 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 65-0701248 (State or other jurisd |
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| August 16, 2018 |
LTS / Ladenburg Thalmann Financial Services, Inc. 8-A12B 8-A12B 1 form8-a12b.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 LADENBURG THALMANN FINANCIAL SERVICES INC. (Exact name of registrant as specified in its charter) Florida 65-0701248 (State of incorporation or organization) (I.R.S. Employe |
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| August 16, 2018 |
8-K 1 form8-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 16, 2018 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 65-0701248 (State or other jurisd |
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| August 16, 2018 |
Ladenburg Thalmann Financial Services Inc. and U.S. Bank National Association, as Trustee THIRD SUPPLEMENTAL INDENTURE Dated as of August 16, 2018 to the Indenture dated as of November 21, 2017 7.25% Senior Notes due 2028 Table of Contents Page ARTICLE 1 APPLICATION OF THIRD SUPPLEMENTAL INDENTURE 1 Section 1.01. Application of Third Supplemental Indenture. 1 ARTICLE 2 DEFINITIONS 2 Section 2.01. |
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| August 13, 2018 |
Filed pursuant to Rule 424(b)(5) Registration No. 333-216733 PROSPECTUS SUPPLEMENT (To Prospectus dated April 27, 2017) $60,000,000 7.25% Senior Notes due 2028 Ladenburg Thalmann Financial Services Inc. is offering $60,000,000 principal amount of our 7.25% Senior Notes due 2028 (the “Notes”) as described in this prospectus supplement and the accompanying base prospectus. Interest on the Notes will |
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| August 10, 2018 |
Exhibit 1.1 Execution Version LADENBURG THALMANN FINANCIAL SERVICES INC. 7.25% SENIOR NOTES DUE 2028 UNDERWRITING AGREEMENT August 9, 2018 MORGAN STANLEY & CO. LLC UBS SECURITIES LLC LADENBURG THALMANN & CO. INC. As Representatives of the several Underwriters named in Schedule A hereto c/o Morgan Stanley & Co. LLC 1585 Broadway New York, New York 10036 c/o UBS Securities LLC 1285 Avenue of the Ame |
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| August 10, 2018 |
Financial Statements and Exhibits, Entry into a Material Definitive Agreement, Other Events 8-K 1 form8-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 9, 2018 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 65-0701248 (State or other jurisdi |
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| August 9, 2018 |
Issuer Free Writing Prospectus dated August 9, 2018 Filed pursuant to Rule 433 Registration No. |
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| August 9, 2018 |
Filed pursuant to Rule 424(b)(5) Registration No. 333-216733 The information in this preliminary prospectus supplement and the accompanying prospectus is not complete and may be changed. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell these securities, and they are not soliciting an offer to buy these securities, in any jurisdiction where the offer o |
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| August 7, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 pressreleasecoverjune2018.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 7, 2018 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 650701248 (S |
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| August 7, 2018 |
LADENBURG REPORTS SECOND QUARTER 2018 FINANCIAL RESULTS EXHIBIT 99.1 LADENBURG REPORTS SECOND QUARTER 2018 FINANCIAL RESULTS Highlights: • Second quarter 2018 revenues of $357.8 million, up 14.8% compared to prior year • Second quarter 2018 net income of $9.3 million and EBITDA, as adjusted, of $25.8 million • Record client assets of $168.0 billion at June 30, 2018, including advisory assets under management of $75.2 billion and cash balances of $4.3 b |
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| August 7, 2018 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K 1 form8-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 7, 2018 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 650701248 (State or other jurisdic |
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| August 7, 2018 |
Ladenburg Thalmann Financial Services Inc. Investor Presentation. |
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| August 7, 2018 |
LTS / Ladenburg Thalmann Financial Services, Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2018 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-15799 Ladenburg Thalmann |
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| August 7, 2018 |
EXHIBIT 12.1 Ladenburg Thalmann Financial Services Inc. Ratio of Earnings to Fixed Charges and Ratio of Earnings to Combined Fixed Charges and Preferred Stock Dividends (dollars in thousands) (unaudited) Six Months Ended June 30, Year Ended December 31, 2018 2017 2016 2015 2014 2013 Ratio of Earnings to Fixed Charges Income (loss) before income taxes $ 21,520 $ 1,180 $ (12,286 ) $ (11,695 ) $ 10,0 |
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| June 22, 2018 |
EX-1.1 2 ex1-1.htm LADENBURG THALMANN FINANCIAL SERVICES INC. 7.00% Senior Notes due 2028 NOTE DISTRIBUTION AGREEMENT June 22, 2018 Ladenburg Thalmann & Co. Inc. as representative of the Sales Agents 277 Park Avenue 26th Floor New York, New York 10172 Ladies and Gentlemen: Ladenburg Thalmann Financial Services Inc., a Florida corporation (the “Company”), confirms its agreement (this “Agreement”) w |
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| June 22, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 22, 2018 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 65-0701248 (State or other jurisdiction of incorporat |
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| June 22, 2018 |
Up to $25,000,000 7.00% Senior Notes due 2028 Filed pursuant to Rule 424(b)(5) Registration No. 333-216733 PROSPECTUS SUPPLEMENT (To prospectus dated April 27, 2017) Up to $25,000,000 7.00% Senior Notes due 2028 Ladenburg Thalmann Financial Services Inc. has entered into a Note Distribution Agreement (the “Distribution Agreement”) with Ladenburg Thalmann & Co. Inc. (“Ladenburg”), as representative of the Agents, as defined below, under which |
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| June 12, 2018 |
424B5 1 form424b5.htm Filed Pursuant to Rule 424(b)(5) Registration No. 333-216733 PROSPECTUS SUPPLEMENT (To Prospectus Dated April 27, 2017) 6,832,841 Shares LADENBURG THALMANN FINANCIAL SERVICES INC. 8.00% Series A Cumulative Redeemable Preferred Stock (Liquidation Preference $25.00 Per Share) This prospectus supplement and the accompanying prospectus relate to the offer and sale from time to ti |
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| June 12, 2018 |
LADENBURG THALMANN FINANCIAL SERVICES INC. Up to 6,832,841 Shares of 8.00% Series A Cumulative Redeemable Preferred Stock (Liquidation Preference $25.00 Per Share) EQUITY DISTRIBUTION AGREEMENT Dated: June 11, 2018 SECTION 1. DESCRIPTION OF SECURITIES. SECTION 2. PLACEMENTS. 3 SECTION 3. SALE OF PLACEMENT SECURITIES BY THE SALES AGENTS. 3 SECTION 4. SUSPENSION OF SALES. 4 SECTION 5. REPRESENTATION |
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| June 12, 2018 |
LTS / Ladenburg Thalmann Financial Services, Inc. 8-K (Current Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 8, 2018 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 650701248 (State or other jurisdiction (Commission (I. |
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| May 31, 2018 |
Submission of Matters to a Vote of Security Holders 8-K 1 htm56197.htm LIVE FILING UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 30, 2018 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 650701248 (State or oth |
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| May 30, 2018 |
LTS / Ladenburg Thalmann Financial Services, Inc. 8-A12B 8-A12B 1 form8a-12b.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 LADENBURG THALMANN FINANCIAL SERVICES INC. (Exact name of registrant as specified in its charter) Florida 65-0701248 (State of incorporation or organization) (I.R.S. Employe |
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| May 30, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 30, 2018 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 65-0701248 (State or other jurisdiction (Commission (I |
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| May 30, 2018 |
Ladenburg Thalmann Financial Services Inc. and U.S. Bank National Association, as Trustee SECOND SUPPLEMENTAL INDENTURE Dated as of May 30, 2018 to the Indenture dated as of November 21, 2017 7.00% Senior Notes due 2028 Table of Contents Page ARTICLE 1 APPLICATION OF SECOND SUPPLEMENTAL INDENTURE 1 Section 1.01. Application of Second Supplemental Indenture. 1 ARTICLE 2 DEFINITIONS 2 Section 2.01. |
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| May 24, 2018 |
Filed pursuant to Rule 424(b)(5) Registration No. 333-216733 PROSPECTUS SUPPLEMENT (To prospectus dated April 27, 2017) $40,000,000 7.00% Senior Notes due 2028 Ladenburg Thalmann Financial Services Inc. is offering $40,000,000 principal amount of our 7.00% Senior Notes due 2028 (the “Notes”) as described in this prospectus supplement and the accompanying base prospectus. Interest on the Notes will |
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| May 23, 2018 |
Issuer Free Writing Prospectus dated May 22, 2018 Filed pursuant to Rule 433 Registration No. |
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| May 23, 2018 |
Execution Version LADENBURG THALMANN FINANCIAL SERVICES INC. 7.00% SENIOR NOTES DUE 2028 UNDERWRITING AGREEMENT May 22, 2018 Ladenburg Thalmann & Co. Inc., as representative of the several underwriters 277 Park Avenue 26th Floor New York, New York 10172 Ladies and Gentlemen: Ladenburg Thalmann Financial Services Inc., a Florida corporation (the “Company”), proposes to issue and sell to the several |
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| May 23, 2018 |
Financial Statements and Exhibits, Entry into a Material Definitive Agreement, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 22, 2018 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 65-0701248 (State or other jurisdiction of incorporati |
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| May 22, 2018 |
SUBJECT TO COMPLETION, DATED MAY 22, 2018 424B5 1 form424b5.htm The information in this preliminary prospectus supplement and the accompanying prospectus is not complete and may be changed. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell these securities, and they are not soliciting an offer to buy these securities, in any jurisdiction where the offer or sale thereof is not permitted. Filed |
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| May 9, 2018 |
LADENBURG REPORTS FIRST QUARTER 2018 FINANCIAL RESULTS EXHIBIT 99.1 LADENBURG REPORTS FIRST QUARTER 2018 FINANCIAL RESULTS Highlights: • First quarter 2018 revenues of $329.4 million, up 13.5% compared to prior year • First quarter 2018 net income of $5.5 million and EBITDA, as adjusted, of $20.2 million • Record client assets of $166.2 billion at March 31, 2018, including advisory assets under management of $73.6 billion and cash balances of $4.6 bil |
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| May 9, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 9, 2018 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 650701248 (State or other jurisdiction of incorporation |
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| May 9, 2018 |
Ladenburg Thalmann Financial Services Inc. Investor Presentation. |
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| May 9, 2018 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 9, 2018 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 650701248 (State or other jurisdiction of incorporation |
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| May 9, 2018 |
EXHIBIT 12.1 Ladenburg Thalmann Financial Services Inc. Ratio of Earnings to Fixed Charges and Ratio of Earnings to Combined Fixed Charges and Preferred Stock Dividends (dollars in thousands) (unaudited) Three Months Ended March 31, Year Ended December 31, 2018 2017 2016 2015 2014 2013 Ratio of Earnings to Fixed Charges Income (loss) before income taxes $ 7,636 $ 1,180 $ (12,286 ) $ (11,695 ) $ 10 |
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| May 9, 2018 |
LTS / Ladenburg Thalmann Financial Services, Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2018 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-15799 Ladenburg Thalman |
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| May 9, 2018 |
EXHIBIT 10.4 FORGIVABLE LOAN TERMINATION AGREEMENT This FORGIVABLE LOAN TERMINATION AGREEMENT (this “Agreement”) is made by and between National Financial Services LLC (“NFS”) and Ladenburg Thalmann Financial Services Inc. (“Ladenburg” and, together with NFS, the “Parties” and individually, a “Party”) and shall be effective as of the last date executed by the Parties as set forth below (“Effective |
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| April 23, 2018 |
LTS / Ladenburg Thalmann Financial Services, Inc. DEF 14A DEF 14A 1 d700781ddef14a.htm DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the a |
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| March 19, 2018 |
\ |
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| March 19, 2018 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K 1 form8-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 19, 2018 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 650701248 (State or other jurisdic |
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| March 16, 2018 |
LADENBURG REPORTS FOURTH QUARTER AND FULL YEAR 2017 FINANCIAL RESULTS EX-99.1 2 ladenburg4qearningsrelease.htm EXHIBIT 99.1 EXHIBIT 99.1 LADENBURG REPORTS FOURTH QUARTER AND FULL YEAR 2017 FINANCIAL RESULTS Fiscal 2017 Highlights: • Revenues increased by 14.6% to record $1.27 billion • Net income of $7.7 million • EBITDA, as adjusted, increased 56.6%, to $56.0 million • Record client assets of $164.7 billion at December 31, 2017, including advisory assets under mana |
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| March 16, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 16, 2018 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 650701248 (State or other jurisdiction of incorporat |
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| March 16, 2018 |
EXHIBIT 12.1 Ladenburg Thalmann Financial Services Inc. Ratio of Earnings to Fixed Charges and Ratio of Earnings to Combined Fixed Charges and Preferred Stock Dividends (dollars in thousands) Year Ended December 31, 2017 2016 2015 2014 2013 Ratio of Earnings to Fixed Charges Income (loss) before income taxes $ 1,180 $ (12,286 ) $ (11,695 ) $ 10,006 $ 2,404 Add: Fixed charges 5,829 7,486 8,435 9,33 |
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| March 16, 2018 |
LTS / Ladenburg Thalmann Financial Services, Inc. 10-K (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended December 31, 2017 Commission File Number 1-15799 LADENBURG THALMANN FINANCIAL SERVICES INC. (Exact Name Of Registrant As Specified In Its Charter) Florida 65-0701248 (State or other jurisdiction of incorpora |
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| March 16, 2018 |
Exhibit 21 SUBSIDIARIES OF REGISTRANT The following are wholly-owned subsidiaries of the registrant: NAME STATE OF ORGANIZATION HCHC Acquisition Inc. |
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| March 6, 2018 |
EX-10.1 2 exhibit1.htm EX-10.1 EX-10.1 3rd AMENDMENT AND LEASE EXTENSION AGREEMENT THIS 3rd AMENDMENT AND LEASE EXTENSION AGREEMENT (this “Extension Agreement”) is made and entered into as of the 1st day of March, 2018 by and between FROST REAL ESTATE HOLDINGS, LLC, a Florida limited liability company (“Landlord”), and LADENBURG THALMANN & CO. INC., a Delaware corporation (“Tenant”). A. Landlord a |
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| March 6, 2018 |
8-K 1 htm55940.htm LIVE FILING UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 28, 2018 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 650701248 (State o |
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| February 16, 2018 |
EX-1.1 2 ex1-1.htm LADENBURG THALMANN FINANCIAL SERVICES INC. 6.50% Senior Notes due 2027 NOTE DISTRIBUTION AGREEMENT February 15, 2018 Ladenburg Thalmann & Co. Inc. 277 Park Avenue 26th Floor New York, New York 10172 Ladies and Gentlemen: Ladenburg Thalmann Financial Services Inc., a Florida corporation (the “Company”), confirms its agreement (this “Agreement”) with Ladenburg Thalmann & Co. Inc. |
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| February 16, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 15, 2018 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 65-0701248 (State or other jurisdiction of incorp |
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| February 16, 2018 |
Up to $25,000,000 6.50% Senior Notes due 2027 Filed pursuant to Rule 424(b)(5) Registration No. 333-216733 PROSPECTUS SUPPLEMENT (To prospectus dated April 27, 2017) Up to $25,000,000 6.50% Senior Notes due 2027 Ladenburg Thalmann Financial Services Inc. has entered into a Note Distribution Agreement (the ?Distribution Agreement?) with Ladenburg Thalmann & Co. Inc. (?Ladenburg?), as representative of the Agents, as defined below, under which |
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| January 22, 2018 |
8-K 1 htm55771.htm LIVE FILING UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): January 16, 2018 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 650701248 (State or |
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| January 22, 2018 |
Employment Agreement, dated as of January 16, 2018, between the Company and Adam Malamed.* EX-10.1 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT dated as of January 16, 2018, is entered into by and between Ladenburg Thalmann Financial Services Inc., a Florida corporation (together with its successors and assigns, the ?Company?), and Adam Scott Malamed (the ?Executive?). WITNESSETH WHEREAS, the Executive has served as Chief Operating Officer of the Company since January 2012 and as Exec |
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| December 12, 2017 |
8-K 1 form8-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 12, 2017 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 65-0701248 (State or other juri |
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| November 21, 2017 |
LTS / Ladenburg Thalmann Financial Services, Inc. 2B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 LADENBURG THALMANN FINANCIAL SERVICES INC. (Exact name of registrant as specified in its charter) Florida 65-0701248 (State of incorporation or organization) (I.R.S. Employer Identification No.) 44 |
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| November 21, 2017 |
Execution Version Ladenburg Thalmann Financial Services Inc. and U.S. Bank National Association, as Trustee FIRST SUPPLEMENTAL INDENTURE Dated as of November 21, 2017 to the Indenture dated as of November 21, 2017 6.50% Senior Notes due 2027 Table of Contents Page ARTICLE 1 APPLICATION OF FIRST SUPPLEMENTAL INDENTURE 1 Section 1.01. Application of First Supplemental Indenture. 1 ARTICLE 2 DEFINITI |
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| November 21, 2017 |
8-K 1 form8-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 21, 2017 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 65-0701248 (State or other juri |
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| November 21, 2017 |
Execution Version LADENBURG THALMANN FINANCIAL SERVICES INC. INDENTURE Dated as of November 21, 2017 U.S. BANK NATIONAL ASSOCIATION Trustee TABLE OF CONTENTS Page Article 1 DEFINITIONS AND INCORPORATION BY REFERENCE 1 Section 1.1 Definitions 1 Section 1.2 Other Definitions 4 Section 1.3 Incorporation by Reference to Trust Indenture Act 5 Section 1.4 Rules of Construction 5 Article 2 THE SECURITIES |
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| November 15, 2017 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 14, 2017 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 65-0701248 (State or other jurisdiction of incorp |
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| November 15, 2017 |
Execution Version LADENBURG THALMANN FINANCIAL SERVICES INC. 6.50% SENIOR NOTES DUE 2027 UNDERWRITING AGREEMENT November 14, 2017 Ladenburg Thalmann & Co. Inc., as representative of the several underwriters 277 Park Avenue 26th Floor New York, New York 10172 Ladies and Gentlemen: Ladenburg Thalmann Financial Services Inc., a Florida corporation (the ?Company?), proposes to issue and sell to the se |
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| November 15, 2017 |
$72,500,000 6.50% Senior Notes due 2027 Filed pursuant to Rule 424(b)(5) Registration No. 333-216733 PROSPECTUS SUPPLEMENT (To prospectus dated April 27, 2017) $72,500,000 6.50% Senior Notes due 2027 Ladenburg Thalmann Financial Services Inc. is offering $72,500,000 principal amount of our 6.50% Senior Notes due 2027 (the ?Notes?) as described in this prospectus supplement and the accompanying base prospectus. Interest on the Notes will |
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| November 14, 2017 |
FWP 1 formfwp.htm Issuer Free Writing Prospectus dated November 14, 2017 Filed pursuant to Rule 433 Registration No. 333-216733 Relating to Preliminary Prospectus dated November 13, 2017 LADENBURG THALMANN FINANCIAL SERVICES INC. US $72,500,000 6.50% Senior Notes Due 2027 Final Term Sheet Issuer: Ladenburg Thalmann Financial Services Inc. Securities: 6.50% Senior Notes Due 2027 Type: SEC Registere |
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| November 13, 2017 |
SUBJECT TO COMPLETION, DATED NOVEMBER 13, 2017 The information in this preliminary prospectus supplement and the accompanying prospectus is not complete and may be changed. |
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| November 9, 2017 |
8-K 1 form8-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 8, 2017 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 650701248 (State or other jurisd |
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| November 9, 2017 |
EXHIBIT 10.1 CREDIT AGREEMENT THIS CREDIT AGREEMENT (this ?Agreement?), dated as of November 8, 2017 (the ?Initial Closing Date?), is entered into by and between Ladenburg Thalmann Financial Services Inc., a Florida corporation (?Borrower ?) and Frost Gamma Investments Trust, a Florida trust (?Frost Gamma?). RECITALS WHEREAS, Frost Nevada Investments Trust, an affiliate of Frost Gamma, and Borrowe |
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| November 8, 2017 |
LADENBURG REPORTS THIRD QUARTER 2017 FINANCIAL RESULTS Exhibit EXHIBIT 99.1 LADENBURG REPORTS THIRD QUARTER 2017 FINANCIAL RESULTS Highlights: ? Record third quarter 2017 revenues of $322.3 million , up 17.5% compared to prior year ? Record client assets of $152.8 billion at September 30, 2017, including advisory assets under management of $66.2 billion and cash balances of $4.1 billion ? Third quarter 2017 net income of $3.4 million and EBITDA, as ad |
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| November 8, 2017 |
LTS / Ladenburg Thalmann Financial Services, Inc. 8-K (Current Report) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 8, 2017 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 650701248 (State or other jurisdiction of |
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| November 8, 2017 |
99.1 Ladenburg Thalmann Financial Services Inc. Investor Presentation. |
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| November 8, 2017 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K 1 form8-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 8, 2017 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 650701248 (State or other jurisd |
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| November 8, 2017 |
LTS / Ladenburg Thalmann Financial Services, Inc. 10-Q (Quarterly Report) 10-Q 1 ladenburgthalmann2017q310-q.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2017 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Co |
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| November 8, 2017 |
EXHIBIT 12.1 Ladenburg Thalmann Financial Services Inc. Ratio of Earnings to Fixed Charges and Ratio of Earnings to Combined Fixed Charges and Preferred Stock Dividends (dollars in thousands) (unaudited) Nine Months Ended September 30, Year Ended December 31, 2017 2016 2015 2014 2013 2012 Ratio of Earnings to Fixed Charges Income (loss) before income taxes $ 1,326 $ (12,286 ) $ (11,695 ) $ 10,006 |
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| September 26, 2017 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 26, 2017 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 650701248 (State or other jurisdiction of incorp |
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| September 26, 2017 |
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| August 9, 2017 |
LADENBURG ANNOUNCES INITIATION OF QUARTERLY DIVIDEND ON COMMON STOCK Exhibit EXHIBIT 99.2 LADENBURG ANNOUNCES INITIATION OF QUARTERLY DIVIDEND ON COMMON STOCK MIAMI, FL, August 9, 2017 - Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA), a diversified financial services company, today announced it intends to pay a regular quarterly cash dividend to holders of its common stock. ?The decision by Ladenburg?s Board of Directors to initiate a divi |
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| August 9, 2017 |
8-K 1 pressreleasecoverjune2017.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 9, 2017 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 650701248 (S |
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| August 9, 2017 |
LADENBURG REPORTS SECOND QUARTER 2017 FINANCIAL RESULTS Exhibit EXHIBIT 99.1 LADENBURG REPORTS SECOND QUARTER 2017 FINANCIAL RESULTS Highlights: ? Record second quarter 2017 revenues of $311.5 million , up 15.5% compared to prior year ? Record client assets of $147.9 billion at June 30, 2017, including advisory assets under management of $63.4 billion and cash balances of $4.2 billion ? Recurring revenue of 77.7% for the trailing 12 months ended June 3 |
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| August 9, 2017 |
EXHIBIT 12.1 Ladenburg Thalmann Financial Services Inc. Ratio of Earnings to Fixed Charges and Ratio of Earnings to Combined Fixed Charges and Preferred Stock Dividends (dollars in thousands) (unaudited) Six Months Ended June 30, Year Ended December 31, 2017 2016 2015 2014 2013 2012 Ratio of Earnings to Fixed Charges (Loss) income before income taxes $ (3,331 ) $ (12,286 ) $ (11,695 ) $ 10,006 $ 2 |
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| August 9, 2017 |
LTS / Ladenburg Thalmann Financial Services, Inc. 10-Q (Quarterly Report) 10-Q 1 ladenburgthalmann2017q210-q.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2017 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commiss |
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| May 26, 2017 |
Other Events, Submission of Matters to a Vote of Security Holders 8-K 1 htm54999.htm LIVE FILING UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 24, 2017 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 650701248 (State or oth |
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| May 22, 2017 |
EX-1.1 LADENBURG THALMANN FINANCIAL SERVICES INC. Up to 8,000,000 Shares of 8.00% Series A Cumulative Redeemable Preferred Stock (Liquidation Preference $25.00 Per Share) EQUITY DISTRIBUTION AGREEMENT Dated: May 22, 2017 1 SCHEDULE Schedule I ? Sales Agents EXHIBITS Exhibit A Exhibit B Exhibit C Exhibit D Exhibit E Exhibit F Exhibit G ? ? ? ? ? ? ? Form of Proposed Placement Notice Authorized Indi |
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| May 22, 2017 |
Articles of Amendment to the Articles of Incorporation, dated May 18, 2017. EX-3.1 |
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| May 22, 2017 |
Ladenburg Thalmann Financial Services LIVE FILING (Current Report/Significant Event) Ladenburg Thalmann Financial Services Inc. (Form: 8-K) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 22, 2017 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 |
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| May 22, 2017 |
Prospectus Supplement Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. |
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| May 9, 2017 |
LADENBURG THALMANN REPORTS FIRST QUARTER 2017 FINANCIAL RESULTS Exhibit LADENBURG THALMANN REPORTS FIRST QUARTER 2017 FINANCIAL RESULTS Highlights: ? First quarter 2017 revenues up 9% to $290. |
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| May 9, 2017 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 pressreleasecovermarch2017.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 9, 2017 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 650701248 (Sta |
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| May 9, 2017 |
EXHIBIT 12.1 Ladenburg Thalmann Financial Services Inc. Ratio of Earnings to Fixed Charges and Ratio of Earnings to Combined Fixed Charges and Preferred Stock Dividends (dollars in thousands) (unaudited) Three Months Ended March 31, Year Ended December 31, 2017 2016 2015 2014 2013 2012 Ratio of Earnings to Fixed Charges (Loss) income before income taxes $ (4,518 ) $ (12,286 ) $ (11,695 ) $ 10,006 |
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| May 9, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2017 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-15799 Ladenburg Thalman |
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| April 25, 2017 |
Ladenburg Thalmann Financial Services ESP CORRESP 1 filename1.htm LADENBURG THALMANN FINANCIAL SERVICES INC. 4400 Biscayne Boulevard 12th Floor Miami, Florida 33137 April 25, 2017 Securities and Exchange Commission 100 F Street, NE Washington, D.C., 20549 Re: Ladenburg Thalmann Financial Services Inc. Acceleration Request Registration Statement on Form S-3 File No. 333-216733 Dear Sir/Madam: Pursuant to Rule 461 of the General Rules and R |
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| April 21, 2017 |
Ladenburg Thalmann Financial Services AMENDMENT #2 TO FORM S-3 Skip to Main Content U.S. Securities and Exchange Commission SEC.gov Search Form Search SEC.gov Company Filings | More Search Options About What We Do Commissioners Securities Laws SEC Docket Reports and Publications Careers Contact Divisions Corporation Finance Enforcement Investment Management Economic and Risk Analysis Trading and Markets National Exam Program All Divisions and Offices Enforcem |
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| April 21, 2017 |
Ladenburg Thalmann Financial Services DEFINITIVE PROXY STATEMENT Definitive Proxy Statement Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 13, 2017 |
Bradley D. Houser +1 305-789-7538 [email protected] April 13, 2017 Era Anagnosti Legal Branch Chief Office of Financial Services United States Securities and Exchange Commission Washington, D.C. 20549 Re: Ladenburg Thalmann Financial Services Inc. Registration Statement on Form S-3 Filed March 16, 2017 File No. 333-216733 Dear Mr. Anagnosti: We enclose for filing on behalf of Ladenburg Thal |
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| April 13, 2017 |
As filed with the Securities and Exchange Commission on April 13, 2017 S-3/A 1 d374312ds3a.htm AMENDMENT NO. 1 TO FORM S-3 Table of Contents As filed with the Securities and Exchange Commission on April 13, 2017 Registration No. 333-216733 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 1 to FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 LADENBURG THALMANN FINANCIAL SERVICES INC. (Exact Name of Registrant as Spe |
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| March 16, 2017 |
Ladenburg Thalmann Financial Services 8-K (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 16, 2017 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 650701248 (State or other jurisdiction of i |
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| March 16, 2017 |
LADENBURG THALMANN REPORTS FOURTH QUARTER AND FULL YEAR 2016 FINANCIAL RESULTS Exhibit FOR IMMEDIATE RELEASE LADENBURG THALMANN REPORTS FOURTH QUARTER AND FULL YEAR 2016 FINANCIAL RESULTS Highlights: ? Fourth quarter and full year 2016 revenues were $297 million and $1. |
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| March 16, 2017 |
Exhibit EXHIBIT 12.1 Ladenburg Thalmann Financial Services Inc. Ratio of Earnings to Fixed Charges and Ratio of Earnings to Combined Fixed Charges and Preferred Stock Dividends (dollars in thousands) Year Ended December 31, 2016 2015 2014 2013 2012 Ratio of Earnings to Fixed Charges (Loss) income before income taxes $ (12,286 ) $ (11,695 ) $ 10,006 $ 2,404 $ (14,892 ) Add: Fixed charges 7,486 8,43 |
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| March 16, 2017 |
Ladenburg Thalmann Financial Services S-3 S-3 1 ladenburgs-3.htm S-3 As filed with the Securities and Exchange Commission on March 16, 2017 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 LADENBURG THALMANN FINANCIAL SERVICES INC. (Exact Name of Registrant as Specified in Its Charter) Florida 65-0701248 (State or Other Jurisdicti |
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| March 16, 2017 |
EXHIBIT 12.1 Ladenburg Thalmann Financial Services Inc. Ratio of Earnings to Fixed Charges and Ratio of Earnings to Combined Fixed Charges and Preferred Stock Dividends (dollars in thousands) Year Ended December 31, 2016 2015 2014 2013 2012 Ratio of Earnings to Fixed Charges (Loss) income before income taxes $ (12,286 ) $ (11,695 ) $ 10,006 $ 2,404 $ (14,892 ) Add: Fixed charges 7,486 8,435 9,337 |
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| March 16, 2017 |
Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended December 31, 2016 Commission File Number 1-15799 LADENBURG THALMANN FINANCIAL SERVICES INC. (Exact Name Of Registrant As Specified In Its Charter) Florida 65-0701248 (State or other jurisdiction of |
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| March 16, 2017 |
EX-21 3 a2016-10kexhibit21.htm EXHIBIT 21 Exhibit 21 SUBSIDIARIES OF REGISTRANT The following are wholly-owned subsidiaries of the registrant: NAME STATE OF ORGANIZATION HCHC Acquisition Inc. Delaware Highland Capital Brokerage, Inc. Delaware Highland Capital Holding Corporation Delaware KMS Financial Services, Inc. Washington Securities America Financial Corporation Nebraska Securities America, I |
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| December 16, 2016 |
LTS / Ladenburg Thalmann Financial Services, Inc. / VECTOR GROUP LTD - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 11)* LADENBURG THALMANN FINANCIAL SERVICES INC. (Name of Issuer) Common Stock, par value $.0001 per share (Title of Class of Securities) 50575Q 10 2 (CUSIP Number) J. Bryant Kirkland III Vector Group Ltd. 4400 Biscayne Boulevard, 10th Floor Miami, FL 33137 ( |
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| November 8, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 7, 2016 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 650701248 (State or other jurisdiction of |
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| November 8, 2016 |
Exhibit FOR IMMEDIATE RELEASE LADENBURG THALMANN REPORTS THIRD QUARTER 2016 FINANCIAL RESULTS Approves Additional 10 Million Share Stock Repurchase Program Retires $18 Million of Senior Notes in Connection with Warrant Exercises , including purchase of 9,000,000 common shares for $15. |
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| November 7, 2016 |
EXHIBIT 12.1 Ladenburg Thalmann Financial Services Inc. Ratio of Earnings to Fixed Charges and Ratio of Earnings to Combined Fixed Charges and Preferred Stock Dividends (dollars in thousands) (unaudited) Nine Months Ended September 30, Year Ended December 31, 2016 2015 2014 2013 2012 2011 Ratio of Earnings to Fixed Charges (Loss) income before income taxes $ (14,872 ) $ (11,695 ) $ 10,006 $ 2,404 |
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| November 7, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2016 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-15799 Ladenburg Tha |
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| August 5, 2016 |
LADENBURG THALMANN REPORTS SECOND QUARTER 2016 FINANCIAL RESULTS Exhibit FOR IMMEDIATE RELEASE LADENBURG THALMANN REPORTS SECOND QUARTER 2016 FINANCIAL RESULTS Highlights: • Second quarter 2016 revenues of $269. |
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| August 5, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 pressreleasecoverjune2016.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 5, 2016 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 650701248 (S |
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| August 5, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2016 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number 001-15799 Ladenburg Thalmann Financial Services Inc. (Exact na |
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| August 5, 2016 |
EXHIBIT 12.1 Ladenburg Thalmann Financial Services Inc. Ratio of Earnings to Fixed Charges and Ratio of Earnings to Combined Fixed Charges and Preferred Stock Dividends (dollars in thousands) (unaudited) Six Months Ended June 30, Year Ended December 31, 2016 2015 2014 2013 2012 2011 Ratio of Earnings to Fixed Charges (Loss) income before income taxes $ (7,961 ) $ (11,695 ) $ 10,006 $ 2,404 $ (14,8 |
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| May 20, 2016 |
Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders 8-K 1 htm53582.htm LIVE FILING UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 18, 2016 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 650701248 (State or oth |
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| May 20, 2016 |
Articles of Amendment to the Articles of Incorporation, dated May 18, 2016. ARTICLES OF AMENDMENT TO THE ARTICLES OF INCORPORATION OF LADENBURG THALMANN FINANCIAL SERVICES INC. |
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| May 9, 2016 |
LADENBURG THALMANN REPORTS FIRST QUARTER 2016 FINANCIAL RESULTS Exhibit FOR IMMEDIATE RELEASE LADENBURG THALMANN REPORTS FIRST QUARTER 2016 FINANCIAL RESULTS Highlights: ? First quarter 2016 revenues of $265. |
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| May 9, 2016 |
Ladenburg Thalmann Financial Services 8-K (Current Report/Significant Event) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 6, 2016 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 650701248 (State or other jurisdiction of incorpora |
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| May 6, 2016 |
EXHIBIT 12.1 Ladenburg Thalmann Financial Services Inc. Ratio of Earnings to Fixed Charges and Ratio of Earnings to Combined Fixed Charges and Preferred Stock Dividends (dollars in thousands) (unaudited) Three Months Ended March 31, Year Ended December 31, 2016 2015 2014 2013 2012 2011 Ratio of Earnings to Fixed Charges (Loss) income before income taxes $ (6,385 ) $ (11,695 ) $ 10,006 $ 2,404 $ (1 |
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| May 6, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2016 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number 001-15799 Ladenburg Thalmann Financial Services Inc. (Exact n |
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| April 20, 2016 |
Ladenburg Thalmann Financial Services DEF 14A DEF 14A 1 v436651def14a.htm DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o P |
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| April 8, 2016 |
Ladenburg Thalmann Financial Services PRE 14A PRE 14A 1 v436496pre14a.htm PRE 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant ¨ Check the appropriate box: þ P |
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| March 16, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 pressreleasecoverdecember2.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 16, 2016 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 650701248 ( |
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| March 16, 2016 |
LADENBURG THALMANN REPORTS FOURTH QUARTER AND FULL YEAR 2015 FINANCIAL RESULTS Exhibit FOR IMMEDIATE RELEASE LADENBURG THALMANN REPORTS FOURTH QUARTER AND FULL YEAR 2015 FINANCIAL RESULTS Highlights: ? Revenues increased by 25% to record $1. |
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| March 15, 2016 |
10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended December 31, 2015 Commission File Number 1-15799 LADENBURG THALMANN FINANCIAL SERVICES INC. (Exact Name Of Registrant As Specified In Its Charter) Florida 65-0701248 (State or other jurisdiction of inco |
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| March 15, 2016 |
EX-10.22 2 a2015-10kexhibit1022.htm EXHIBIT 10.22 Exhibit 10.22 AMENDMENT NO. 3 TO CREDIT AGREEMENT THIS AMENDMENT NO. 3 TO CREDIT AGREEMENT (this “Amendment”), dated as of March 9, 2016, is entered into by and between Ladenburg Thalmann Financial Services Inc., a Florida corporation (“Borrower ”) and Frost Nevada Investments Trust, a Florida trust (“Frost Nevada”). RECITALS WHEREAS, Borrower is a |
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| March 15, 2016 |
EXHIBIT 12.1 Ladenburg Thalmann Financial Services Inc. Ratio of Earnings to Fixed Charges and Ratio of Earnings to Combined Fixed Charges and Preferred Stock Dividends (dollars in thousands, except ratios) Year Ended December 31, 2015 2014 2013 2012 2011 Ratio of Earnings to Fixed Charges (Loss) income before income taxes $ (11,695 ) $ 10,006 $ 2,404 $ (14,892 ) $ (12,302 ) Add: Fixed charges 8,4 |
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| March 15, 2016 |
Exhibit 21 SUBSIDIARIES OF REGISTRANT The following are wholly-owned subsidiaries of the registrant: NAME STATE OF ORGANIZATION HCHC Acquisition Inc. |
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| February 26, 2016 |
8-K 1 htm53181.htm LIVE FILING UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 22, 2016 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 650701248 (State o |
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| February 26, 2016 |
EX-10.1 1st AMENDMENT AND LEASE EXTENSION AGREEMENT Investacorp Group Inc Suite 1100 THIS AMENDMENT AND LEASE EXTENSION AGREEMENT (this Extension Agreement) is made and entered into as of the 22nd day of February 2016 to be effective as of the 1st day of October 2015, by and between FROST REAL ESTATE HOLDINGS, LLC, a Florida limited liability company (Landlord), and INVESTACORP GROUP, INC., |
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| February 8, 2016 |
JOINT FILER INFORMATION NAME: Frost Gamma Investments Trust ADDRESS: 4400 Biscayne Blvd Miami, FL 33137 Designated Filer: Phillip Frost, M. |
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| November 6, 2015 |
EXHIBIT 12.1 Ladenburg Thalmann Financial Services Inc. Ratio of Earnings to Fixed Charges and Ratio of Earnings to Combined Fixed Charges and Preferred Stock Dividends (dollars in thousands) (unaudited) Nine Months Ended September 30, Year Ended December 31, 2015 2014 2013 2012 2011 2010 Ratio of Earnings to Fixed Charges (Loss) income before income taxes $ (11,274 ) $ 10,006 $ 2,404 $ (14,892 ) |
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| November 6, 2015 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 pressreleasecoverseptembe.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 6, 2015 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 650701248 |
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| November 6, 2015 |
LADENBURG THALMANN REPORTS THIRD QUARTER 2015 FINANCIAL RESULTS EX-99.1 2 ladenburg3qearningsrelease.htm EXHIBIT 99.1 FOR IMMEDIATE RELEASE LADENBURG THALMANN REPORTS THIRD QUARTER 2015 FINANCIAL RESULTS Highlights: • Third quarter 2015 revenues of $282.2 million, up 26% year-over-year • Third quarter 2015 EBITDA, as adjusted, of $8.4 million • Client assets of approximately $123 billion at September 30, 2015, up 33% year-over-year • Trailing twelve month recu |
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| November 6, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2015 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number 001-15799 Ladenburg Thalmann Financial Services Inc. (Exa |
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| August 7, 2015 |
Ladenburg Thalmann Financial Services 8-K (Current Report/Significant Event) Press Release CoverJune 2015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| August 7, 2015 |
LADENBURG THALMANN REPORTS SECOND QUARTER 2015 FINANCIAL RESULTS Ladenburg2QEarningsReleaseJune302015 FOR IMMEDIATE RELEASE LADENBURG THALMANN REPORTS SECOND QUARTER 2015 FINANCIAL RESULTS Highlights: ? Second quarter 2015 revenues of $296. |
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| August 7, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2015 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number 001-15799 Ladenburg Thalmann Financial Services Inc. (Exact na |
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| August 7, 2015 |
EXHIBIT 12.1 Ladenburg Thalmann Financial Services Inc. Ratio of Earnings to Fixed Charges and Ratio of Earnings to Combined Fixed Charges and Preferred Stock Dividends (dollars in thousands) (unaudited) Six Months Ended June 30, Year Ended December 31, 2015 2014 2013 2012 2011 2010 Ratio of Earnings to Fixed Charges (Loss) income before income taxes $ (8,125 ) $ 10,006 $ 2,404 $ (14,892 ) $ (12,3 |
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| June 25, 2015 |
Ladenburg Thalmann Financial Services ESP CORRESP 1 filename1.htm June 25, 2015 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Christian Windsor, Special Counsel RE: Ladenburg Thalmann Financial Services Inc. ("we" or the "Company") Form 10-K for the year ended December 31, 2014 filed on 3/17/2015 (the "Form 10-K") File No. 001-15799 Dear Mr. |
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| May 22, 2015 |
Articles of Amendment to the Articles of Incorporation, dated May 20, 2015. EX-3.1 |
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| May 22, 2015 |
424B5 1 d930142d424b5.htm 424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-192712 PROSPECTUS SUPPLEMENT (To Prospectus Dated December 20, 2013) 3,000,000 Shares LADENBURG THALMANN FINANCIAL SERVICES INC. 8.00% Series A Cumulative Redeemable Preferred Stock (Liquidation Preference $25.00 Per Share) This prospectus supplement and the accompanying prospectus relate to the |
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| May 22, 2015 |
8-K 1 htm51889.htm LIVE FILING UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 22, 2015 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 650701248 (State or oth |
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| May 22, 2015 |
EX-1.1 2 exhibit1.htm EX-1.1 LADENBURG THALMANN FINANCIAL SERVICES INC. Up to 3,000,000 Shares of 8.00% Series A Cumulative Redeemable Preferred Stock (Liquidation Preference $25.00 Per Share) EQUITY DISTRIBUTION AGREEMENT Dated: May 22, 2015 SECTION 1. DESCRIP TION OF SECURITIES 1 SECTION 2. PLACEMENTS 2 SECTION 3. SALE OF PLACEMENT SECURITIES BY THE SALES AGENTS 3 SECTION 4. SUSPENSION OF SALES |
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| May 19, 2015 |
Submission of Matters to a Vote of Security Holders 8-K 1 htm51862.htm LIVE FILING UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 18, 2015 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 650701248 (State or oth |
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| May 15, 2015 |
Ladenburg Thalmann Financial Services ESP CORRESP 1 filename1.htm May 15, 2015 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Ms. Suzanne Hayes, Assistant Director RE: Ladenburg Thalmann Financial Services Inc. ("we" or the "Company") Form 10-K for the year ended December 31, 2014 Filed on 3/17/2015 (the "Form 10-K") File No. 001-15799 Dear Ms |
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| May 8, 2015 |
EXHIBIT 12.1 Ladenburg Thalmann Financial Services Inc. Ratio of Earnings to Fixed Charges and Ratio of Earnings to Combined Fixed Charges and Preferred Stock Dividends (dollars in thousands) (unaudited) Three Months Ended March 31, Year Ended December 31, 2015 2014 2013 2012 2011 2010 Ratio of Earnings to Fixed Charges (Loss) income before income taxes $ (5,292 ) $ 10,006 $ 2,404 $ (14,892 ) $ (1 |
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| May 8, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2015 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number 001-15799 Ladenburg Thalmann Financial Services Inc. (Exact n |
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| May 8, 2015 |
Form of Restricted Stock Award Agreement.* EX-10.4 2 a2015q1-10qexhibit104.htm EXHIBIT 10.4 EXHIBIT 10.4 RESTRICTED STOCK AWARD AGREEMENT PURSUANT TO THE LADENBURG THALMANN FINANCIAL SERVICES INC. AMENDED AND RESTATED 2009 INCENTIVE COMPENSATION PLAN THIS AGREEMENT (the “Agreement”), made as of , by and between Ladenburg Thalmann Financial Services Inc., with its principal office at 4400 Biscayne Boulevard, Miami, FL 33137 (the “Company”), |
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| May 8, 2015 |
LADENBURG THALMANN REPORTS FIRST QUARTER 2015 FINANCIAL RESULTS EX-99.1 FOR IMMEDIATE RELEASE LADENBURG THALMANN REPORTS FIRST QUARTER 2015 FINANCIAL RESULTS Highlights: ? First quarter 2015 revenues of $278.8 million, up 32% year-over-year ? First quarter 2015 EBITDA, as adjusted, of $10.5 million ? Record client assets of approximately $127 billion, up 42% year-over-year ? Trailing twelve month recurring revenue of 71% in independent brokerage and advisory s |
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| May 8, 2015 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 8, 2015 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-15799 650701248 (State or other jurisdiction (Commission (I.R |
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| April 17, 2015 |
Ladenburg Thalmann Financial Services DEFINITIVE PROXY STATEMENT DEF 14A 1 v407234def14a.htm DEFINITIVE PROXY STATEMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant o Check the a |
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| March 27, 2015 |
Ladenburg Thalmann Financial Services LIVE FILING (Current Report/Significant Event) Ladenburg Thalmann Financial Services Inc. (Form: 8-K) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 25, 2015 Ladenburg Thalmann Financial Services Inc. (Exact name of registrant as specified in its charter) Florida 001-157 |
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| March 20, 2015 |
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