-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, RSOXndjDuOhq93j3da92eqcehJf+jPs0IqMKMqd4RaHzF1CPtsfDK6R23WWEL/I7 OvbK+J1OPyaNtHvO3BO2oQ== 0001209191-09-052515.txt : 20091113 0001209191-09-052515.hdr.sgml : 20091113 20091113112023 ACCESSION NUMBER: 0001209191-09-052515 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091112 FILED AS OF DATE: 20091113 DATE AS OF CHANGE: 20091113 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LAMPEN RICHARD CENTRAL INDEX KEY: 0001047092 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15799 FILM NUMBER: 091179804 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: LADENBURG THALMANN FINANCIAL SERVICES INC CENTRAL INDEX KEY: 0001029730 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES [6200] IRS NUMBER: 650701248 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 590 MADISON AVENUE 34TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 5164701000 MAIL ADDRESS: STREET 1: 590 MADISON AVENUE 34TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: GBI CAPITAL MANAGEMENT CORP DATE OF NAME CHANGE: 19990826 FORMER COMPANY: FORMER CONFORMED NAME: FROST HANNA CAPITAL GROUP INC DATE OF NAME CHANGE: 19961227 4 1 doc4.xml FORM 4 SUBMISSION X0303 4 2009-11-12 0 0001029730 LADENBURG THALMANN FINANCIAL SERVICES INC LTS 0001047092 LAMPEN RICHARD 4400 BISCAYNE BOULEVARD 12TH FLOOR MIAMI FL 33137 1 1 0 0 President and CEO Common Stock 2009-11-12 4 P 0 5000 0.64 A 455631 D /s/ Richard J. Lampen 2009-11-12 -----END PRIVACY-ENHANCED MESSAGE-----