0001493152-20-002873.txt : 20200224 0001493152-20-002873.hdr.sgml : 20200224 20200224080027 ACCESSION NUMBER: 0001493152-20-002873 CONFORMED SUBMISSION TYPE: 15-12G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20200224 DATE AS OF CHANGE: 20200224 EFFECTIVENESS DATE: 20200224 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: 15-12G SEC ACT: 1934 Act SEC FILE NUMBER: 000-22265 FILM NUMBER: 20642107 BUSINESS ADDRESS: STREET 1: 4400 BISCAYNE BLVD. STREET 2: 12TH FLOOR CITY: MIAMI STATE: FL ZIP: 33137 BUSINESS PHONE: 305-572-4100 MAIL ADDRESS: STREET 1: 4400 BISCAYNE BLVD. STREET 2: 12TH FLOOR CITY: MIAMI STATE: FL ZIP: 33137 FORMER COMPANY: FORMER CONFORMED NAME: LADENBURG THALMANN FINANCIAL SERVICES INC DATE OF NAME CHANGE: 20010514 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 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.*

(Exact name of registrant as specified in its charter)

4400 Biscayne Boulevard, 12th Floor

Miami, Florida 33137

(305) 572-4100

(Address, including zip code, and telephone number, including area code, of registrant’s principal executive offices)

Common Stock, par value $0.0001 per share

(Title of each class of securities covered by this Form)

8.00% Series A Cumulative Redeemable Preferred Stock, Liquidation Preference $25.00 per share

6.50% Senior Notes due 2027

7.00% Senior Notes due 2028

7.25% Senior Notes due 2028

7.75% Senior Notes due 2029

(Titles of all other classes of securities for which a duty to file reports under section 13(a) or 15(d) remains)

Please place an X in the box(es) to designate the appropriate rule provision(s) relied upon to terminate or suspend the duty to file reports:

	Rule 12g-4(a)(1)	[X]
	Rule 12g-4(a)(2)	[ ]
	Rule 12h-3(b)(1)(i)	[X]
	Rule 12h-3(b)(1)(ii)	[ ]
	Rule 15d-6	[ ]
	Rule 15d-22(b)	[ ]

Approximate number of holders of record as of the certification or notice date: None*

Explanatory Note:

*Pursuant to the Agreement and Plan of Merger (the “Merger Agreement”), dated as of November 11, 2019, by and among Ladenburg Thalmann Financial Services Inc. (the “Company”), Advisor Group Holdings, Inc., a Delaware corporation (“Advisor Group”) and Harvest Merger Sub, Inc., a Florida corporation and a wholly owned subsidiary of Advisor Group (“Merger Sub”), on February 14, 2020, Merger Sub merged with and into the Company (the “Merger”), with the Company continuing as the surviving corporation and a wholly owned subsidiary of Advisor Group in the Merger.

Pursuant to the requirements of the Securities Exchange Act of 1934, Ladenburg Thalmann Financial Services, Inc. has caused this certification/notice to be signed on its behalf by the undersigned duly authorized person.

Date: February 24, 2020

	By:	/s/ Nina McKenna
	Name:	Nina McKenna
	Title:	General Counsel and Secretary