LADENBURG THALMANN FINANCIAL SERVICES INC. Business Finance Contracts & Agreements

116 Contracts & Agreements
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Description of Registered Securities of Ladenburg Thalmann Financial Services Inc.
Equity Distribution Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2020
Stock Repurchase and Option Cancellation Agreement among Phillip Frost, Frost Nevada Investments Trust, and Ladenburg Thalmann Financial Services Inc.
Repurchase Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2018
Ladenburg Thalmann Financial Services Inc. 7.25% Senior Note Due 2028
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2018
Promissory Note between Ladenburg Thalmann Annuity Insurance Services LLC and Kestler Financial Group, Inc. dated August 31, 2018
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
VA
2018
Asset Purchase Agreement among Kestler Financial Group, Inc., Jason A. Kestler, and Ladenburg Thalmann Annuity Insurance Services LLC (August 31, 2018)
Purchase Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2018
Third Supplemental Indenture to Indenture Dated November 21, 2017 for 7.25% Senior Notes due 2028 between Ladenburg Thalmann Financial Services Inc. and U.S. Bank National...
Indenture Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2018
Underwriting Agreement for 7.25% Senior Notes Due 2028 between Ladenburg Thalmann Financial Services Inc. and Underwriters
Underwriting Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2018
Equity Distribution Agreement between Ladenburg Thalmann Financial Services Inc. and Sales Agents for Series A Preferred Stock Offering
Equity Distribution Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2018
Underwriting Agreement for $40 Million 7.00% Senior Notes Due 2028 between Ladenburg Thalmann Financial Services Inc. and Underwriters
Underwriting Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2018
Forgivable Loan Termination Agreement between National Financial Services LLC and Ladenburg Thalmann Financial Services Inc.
Modification Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2018
Equity Distribution Agreement between Ladenburg Thalmann Financial Services Inc. and Jefferies LLC for Series A Preferred Stock
Equity Distribution Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2017
Equity Distribution Agreement between Ladenburg Thalmann Financial Services Inc. and Jefferies LLC for Series A Preferred Stock
Equity Distribution Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2015
Stock Pledge Agreement between Ladenburg Thalmann Financial Services Inc. and Representatives of Former Shareholders of SSN and RCC
Pledge Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
TN
2015
Secured Non-Negotiable Promissory Note between Ladenburg Thalmann Financial Services Inc. and Holder (January 2, 2015)
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
TN
2015
Secured Non-Negotiable Promissory Note between Ladenburg Thalmann Financial Services Inc. and Holder (2015)
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
TN
2015
Secured Non-Negotiable Promissory Note between Ladenburg Thalmann Financial Services Inc. and Holder (2015)
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
TN
2015
Equity Distribution Agreement between Ladenburg Thalmann Financial Services Inc. and Jefferies LLC for Series A Preferred Stock
Equity Distribution Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2014
Asset Purchase Agreement among Securities America Financial Corporation, Sunset Financial Services, Inc., and Kansas City Life Insurance Company (July 16, 2014)
Purchase Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NE
2014
Non-Negotiable Promissory Note between Ladenburg Thalmann Financial Services Inc. and Holder (October 15, 2014)
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2014
Stock Purchase Agreement among KMS Financial Services, Inc., its Shareholders, and Ladenburg Thalmann Financial Services Inc. (August 8, 2014)
Purchase Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2014
Equity Distribution Agreement between Ladenburg Thalmann Financial Services Inc. and Mitsubishi UFJ Securities (USA), Inc. for Series A Preferred Stock
Equity Distribution Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2014
Equity Distribution Agreement between Ladenburg Thalmann Financial Services Inc. and Mitsubishi UFJ Securities (USA), Inc. for Series A Preferred Stock
Equity Distribution Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2013
Underwriting Agreement for 8.00% Series A Cumulative Redeemable Preferred Stock between Ladenburg Thalmann Financial Services Inc. and Mitsubishi UFJ Securities (USA), Inc.
Underwriting Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2013
Forgivable Loan Agreement between National Financial Services LLC and Ladenburg Thalmann Financial Services Inc.
Loan Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2012
First Amendment to Forgivable Loan Agreement between National Financial Services LLC and Ladenburg Thalmann Financial Services Inc.
Modification Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2012
Amendment to Employment Agreement between Ladenburg Thalmann Financial Services Inc. and Mark Zeitchick (December 2011)
Modification Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2012
Non-Negotiable Promissory Note between Ladenburg Thalmann Financial Services Inc. and Holder (November 4, 2011)
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2011
Loan Agreement between Ladenburg Thalmann Financial Services Inc. and Lenders for Acquisition Financing
Loan Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2011
Warrant Agreement to Purchase Common Stock between Ladenburg Thalmann Financial Services Inc. and Holder (Effective November 4, 2011)
Warrant Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2011
Fourth Supplemental Indenture, dated as of May 29, 2019, between the Company and U.S. Bank National Association, as Trustee
Indenture Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2019
Underwriting Agreement, dated as of May 21, 2019, by and among the Company and UBS Securities LLC, Morgan Stanley & Co. LLC and RBC Capital Markets, LLC, as representatives of the...
Underwriting Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2019
Second Supplemental Indenture to 7.00% Senior Notes Due 2028 between Ladenburg Thalmann Financial Services Inc. and U.S. Bank National Association
Indenture Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2018
First Supplemental Indenture to Indenture for 6.50% Senior Notes due 2027 between Ladenburg Thalmann Financial Services Inc. and U.S. Bank National Association
Indenture Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2017
Indenture Agreement between Ladenburg Thalmann Financial Services Inc. and U.S. Bank National Association, dated November 21, 2017
Indenture Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2017
Underwriting Agreement for Ladenburg Thalmann Financial Services Inc. 6.50% Senior Notes Due 2027
Underwriting Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2017
Credit Agreement between Ladenburg Thalmann Financial Services Inc. and Frost Gamma Investments Trust dated November 8, 2017
Credit Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2017
Amendment No. 3 to Credit Agreement between Ladenburg Thalmann Financial Services Inc. and Frost Nevada Investments Trust
Credit Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2016
Stock Purchase Agreement among Securities Service Network, Inc., Renaissance Capital Corporation, Shareholders, and Ladenburg Thalmann Financial Services Inc. dated September 21,...
Purchase Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2014
Amendment No. 2 to Credit Agreement between Ladenburg Thalmann Financial Services Inc. and Frost Nevada Investments Trust
Credit Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2011
Stock Purchase Agreement between Ameriprise Financial, Inc. and Ladenburg Thalmann Financial Services Inc. dated August 16, 2011
Purchase Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
CA
2011