X0306 4 2019-06-13 0 0001029730 LADENBURG THALMANN FINANCIAL SERVICES INC. LTS 0001208655 GENSON BRIAN S 6000 ISLAND BLVD. AVENTURA FL 33160 1 0 0 0 Common Stock 2019-06-13 4 A 0 30000 0.00 A 195602 D Common Stock 10000 I By Genson Capital LLC 8.00% Series A Cumulative Redeemable Preferred Stock 2000 I By Genson Capital LLC Restricted shares of common stock issued pursuant to the issuer's Amended and Restated 2009 Incentive Compensation Plan. Restricted shares vest in two equal annual installments commencing on the first anniversary of the date of grant provided Mr. Genson is then still a director of the issuer, subject to earlier vesting upon his death or disability or a change of control of the issuer. The reporting person is the managing member of Genson Capital LLC. The 8.00% Series A Cumulative Redeemable Preferred Stock is convertible into common stock at a non-fixed conversion rate in connection with a change of control as described in the issuer's Current Report on Form 8-K, filed with the Securities and Exchange Commission on May 24, 2013. /s/ Brian S. Genson 2019-06-14