Ladenburg Thalmann Financial Services Inc. – Filings and Transcripts – BamSEC

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Key Exhibits

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SEC EDGAR

Financials Filter

ended 12/31/19 FY 2019 – amended

ended 12/31/19 FY 2019

ended 09/30/19 Q3

ended 06/30/19 Q2

ended 03/31/19 Q1

Prospectuses and Registrations Filter

Securities registration termination

Securities registration termination

Removal from listing

Amendment to registration of securities for employees

Amendment to registration of securities for employees

Ownership Filter

Vector Group Ltd

Osaic Holdings, Inc.

Holdings report

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Announces Intention to Delist Certain of Its Securities

Shareholders Approve Merger With Advisor Group

Material Definitive Agreement, Change in Directors, Officers or Compensation, Other Events, Financial Statements or Exhibits

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

Reports Third Quarter 2019 Financial Results

Proxies Filter

Additional info about upcoming vote

Proxy related to merger

Preliminary proxy related to merger

Additional info about upcoming vote

Additional info about upcoming vote

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Notice of effectiveness

Certification of approval for listing on the NYSE