<SEC-DOCUMENT>0001299933-15-000109-index.html : 20150123 <SEC-HEADER>0001299933-15-000109.hdr.sgml : 20150123 <ACCEPTANCE-DATETIME>20150123172717 ACCESSION NUMBER: 0001299933-15-000109 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20150120 ITEM INFORMATION: Entry into a Material Definitive Agreement ITEM INFORMATION: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20150123 DATE AS OF CHANGE: 20150123 FILER: COMPANY DATA: COMPANY CONFORMED NAME: LADENBURG THALMANN FINANCIAL SERVICES INC CENTRAL INDEX KEY: 0001029730 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 650701248 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-15799 FILM NUMBER: 15546474 BUSINESS ADDRESS: STREET 1: 4400 BISCAYNE BLVD. STREET 2: 12TH FLOOR CITY: MIAMI STATE: FL ZIP: 33137 BUSINESS PHONE: 212-409-2000 MAIL ADDRESS: STREET 1: 4400 BISCAYNE BLVD. STREET 2: 12TH FLOOR CITY: MIAMI STATE: FL ZIP: 33137 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 </SEC-HEADER> <DOCUMENT> <TYPE>8-K <SEQUENCE>1 <FILENAME>htm_51167.htm <DESCRIPTION>LIVE FILING <TEXT> Document 1 - file: htm_51167.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.1 <SEQUENCE>2 <FILENAME>exhibit1.htm <DESCRIPTION>EX-10.1 <TEXT> Document 2 - file: exhibit1.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.2 <SEQUENCE>3 <FILENAME>exhibit2.htm <DESCRIPTION>EX-10.2 <TEXT> Document 3 - file: exhibit2.htm
</DOCUMENT> </SEC-DOCUMENT>