LADENBURG THALMANN FINANCIAL SERVICES INC. Contracts & Agreements

102 Contracts & Agreements
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Description of Registered Securities
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2020
Agreement and Plan of Merger, dated November 11, 2019, by and among Ladenburg Thalmann Financial Services Inc., Advisor Group Holdings, Inc. and Harvest Merger Sub, Inc
Merger Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2019
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
Form of 7.25% Senior Note due 2028 issued to Phillip Frost, M.D. and Frost Nevada Investments Trust
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2018
Agreement, dated December 24, 2018, by and among Ladenburg Thalmann Financial Services Inc., Phillip Frost M.D. and Frost Nevada Investments Trust
Services Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2018
Letter Agreement, dated December 24, 2018, by and between Ladenburg Thalmann Financial Services Inc. and Frost Gamma Investments Trust
Services Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2018
Asset Purchase Agreement, dated as of August 31, 2018, by and among Kestler Financial Group, Inc., Jason A. Kestler and Ladenburg Thalmann Annuity Insurance Services LLC
Purchase Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2018
Promissory Note, dated as of August 31, 2018, issued by Ladenburg Thalmann Annuity Insurance Services LLC to Kestler Financial Group, Inc
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2018
Third Supplemental Indenture, dated as of August 16, 2018, between the Company and U.S. Bank National Association, as Trustee
Indenture Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2018
Underwriting Agreement, dated as of August 9, 2018, by and among the Company and Morgan Stanley & Co. LLC, UBS Securities LLC and Ladenburg Thalmann & Co. Inc., as representatives...
Underwriting Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2018
Note Distribution Agreement, dated as of June 22, 2018, between the Company and Ladenburg Thalmann & Co. Inc., as representative of the sales agents named therein
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2018
Equity Distribution Agreement, dated June 11, 2018, between Ladenburg Thalmann Financial Services Inc., Ladenburg Thalmann & Co. Inc. and Barrington Research Associates, Inc
Equity Distribution Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2018
Second Supplemental Indenture, dated as of May 30, 2018, between the Company and U.S. Bank National Association, as Trustee
Indenture Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2018
Underwriting Agreement, dated as of May 22, 2018, between the Company and Ladenburg Thalmann & Co. Inc., as representative of the several underwriters named therein
Underwriting Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2018
Forgivable Loan Termination Agreement, dated as of May 8, 2018, between the Company and National Financial Services LLC
Loan Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2018
3rd Amendment and Lease Extension Agreement, dated as of March 1, 2018, between Ladenburg Thalmann & Co. Inc. and Frost Real Estate Holdings, LLC
Lease Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2018
Note Distribution Agreement, dated as of February 15, 2018, between the Company and Ladenburg Thalmann & Co. Inc., as representative of the agents named therein
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2018
Employment Agreement, dated as of January 16, 2018, between the Company and Adam Malamed
Employment Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2018
Indenture, dated as of November 21, 2017, between the Company and U.S. Bank National Association, as Trustee
Indenture Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2017
First Supplemental Indenture, dated as of November 21, 2017, between the Company and U.S. Bank National Association, as Trustee
Indenture Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2017
Underwriting Agreement, dated as of November 14, 2017, between the Company and Ladenburg Thalmann & Co. Inc., as representative of the several underwriters named therein
Underwriting Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2017
Credit Agreement, dated as of November 8, 2017, by and between the Company and Frost Gamma Investments Trust, including the form of note thereto
Credit Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2017
LADENBURG THALMANN FINANCIAL SERVICES INC. Up to 8,000,000 Shares of 8.00% Series A Cumulative Redeemable Preferred Stock (Liquidation Preference $25.00 Per Share) EQUITY...
Stock Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2017
AMENDMENT NO. 3 TO CREDIT AGREEMENT
Credit Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2016
1st AMENDMENT AND LEASE EXTENSION AGREEMENT Investacorp Group Inc Suite 1100
Lease Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2016
RESTRICTED STOCK AWARD AGREEMENT PURSUANT TO THE LADENBURG THALMANN FINANCIAL SERVICES INC. AMENDED AND RESTATED 2009 INCENTIVE COMPENSATION PLAN
Bonus & Incentive Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2015
EMPLOYMENT AGREEMENT
Employment Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2015
EMPLOYMENT AGREEMENT
Employment Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2015
SECURED NON-NEGOTIABLE PROMISSORY NOTE Cap Note
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2015
SECURED NON-NEGOTIABLE PROMISSORY NOTE Balance Note
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
TN
2015
SECURED NON-NEGOTIABLE PROMISSORY NOTE Short Term Note
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2015
STOCK PLEDGE AGREEMENT
Stock Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2015
LADENBURG THALMANN FINANCIAL SERVICES INC. Up to 3,400,000 Shares of 8.00%Series A Cumulative Redeemable Preferred Stock (Liquidation Preference $25.00 Per Share) EQUITY...
Stock Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2014
NOTE: PORTIONS OF THIS EXHIBIT ARE THE SUBJECT OF A CONFIDENTIAL TREATMENT REQUEST BY THE REGISTRANT TO THE SECURITIES AND EXCHANGE COMMISSION (COMMISSION). SUCH PORTIONS HAVE...
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2014
STOCK PURCHASE AGREEMENT by and among KMS Financial Services, Inc., the Shareholders of KMS Financial Services, Inc. and Ladenburg Thalmann Financial Services Inc. Dated as of...
Stock Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2014
NON-NEGOTIABLE PROMISSORY NOTE
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2014
LADENBURG THALMANN FINANCIAL SERVICES INC. 4400 Biscayne Boulevard Miami, FL 33137 February 26, 2014
LADENBURG THALMANN FINANCIAL SERVICES INC.
2014
Ladenburg Thalmann Financial Services Inc. 4,600,000 Shares 8.00% Series A Cumulative Redeemable Preferred Stock (Liquidation Preference $25.00 Per Share) Underwriting Agreement
Underwriting Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2013
AMENDMENT AND LEASE EXTENSION AGREEMENT
Lease Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2013
LADENBURG THALMANN FINANCIALSERVICES INC. By:/s/ Richard J. Lampen Name: Title: Richard J. Lampen President and Chief Executive Officer
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2013
LADENBURG THALMANN FINANCIAL SERVICES INC. 4400 Biscayne Blvd., 12th Floor Miami, Florida 33137 December 15, 2011
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2012
FIRST AMENDMENT TO FORGIVABLE LOAN AGREEMENT
Loan Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2012
NOTE: PORTIONS OF THIS EXHIBIT ARE THESUBJECT OF A CONFIDENTIAL TREATMENT REQUEST BY THE REGISTRANT TO THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION").SUCH PORTIONS HAVE...
Loan Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2012
LADENBURG THALMANN FINANCIAL SERVICES INC. 4400 Biscayne Boulevard Miami, Florida 33137 February 8, 2012
LADENBURG THALMANN FINANCIAL SERVICES INC.
2012
WARRANT TO PURCHASE COMMON STOCK LADENBURG THALMANN FINANCIAL SERVICES INC.
Warrant Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2011
LOAN AGREEMENT
Loan Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2011
NON-NEGOTIABLE PROMISSORY NOTE
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2011
STOCK PURCHASE AGREEMENT by and between AMERIPRISE FINANCIAL, INC. and LADENBURG THALMANN FINANCIAL SERVICES INC. dated as of August 16, 2011
Stock Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2011
AMENDMENT NO. 2 TO CREDIT AGREEMENT
Credit Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2011
LADENBURG THALMANN FINANCIAL SERVICES INC. 4400 Biscayne Blvd., 12th Floor Miami, Florida 33137
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2011
Cash and cash equivalents
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2009
Cash and cash equivalents
LADENBURG THALMANN FINANCIAL SERVICES INC.
2009
NON-NEGOTIABLE PROMISSORY NOTE
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2008
Share Pledge Agreement
Share Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2008
AGREEMENT AND PLAN OF MERGER by and among Triad Advisors, Inc., Triple Acquisition Inc., The Shareholders of Triad Advisors, Inc. and Ladenburg Thalmann Financial Services Inc....
Merger Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2008
By: /s/ Richard J. Lampen Name: Title: Richard J. Lampen President and Chief Executive Officer
LADENBURG THALMANN FINANCIAL SERVICES INC.
2008
LADENBURG THALMANN FINANCIAL SERVICES INC. 4400 Biscayne Boulevard Miami, Florida 33137 December 20, 2007
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2007
CREDIT AGREEMENT
Credit Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2007
NON-NEGOTIABLE PROMISSORY NOTE
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2007
PLEDGE AGREEMENT
Pledge Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2007
STOCK PURCHASE AGREEMENT among LADENBURG THALMANN FINANCIAL SERVICES INC., THE INVESTACORP COMPANIES, THE VIA COMPANIES and BRUCE ZWIGARD and BRUCE A. ZWIGARD GRANTOR RETAINED...
Stock Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2007
LADENBURG THALMANN FINANCIAL SERVICES INC. 4400 Biscayne Boulevard, 12th Floor Miami, Florida 33137
LADENBURG THALMANN FINANCIAL SERVICES INC.
2007
WARRANT TO PURCHASE COMMON STOCK LADENBURG THALMANN FINANCIAL SERVICES INC. EXPIRING OCTOBER 19, 2017 (THE EXPIRATION DATE)
Warrant Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2007
EX-10.1 Lease dated March 30, 2007
Lease Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2007
DEBT EXCHANGE AGREEMENT
Exchange Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2007
AMENDMENT TO EMPLOYMENT AGREEMENT
Employment Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2006
EX-10.1 Letter Agreement
LADENBURG THALMANN FINANCIAL SERVICES INC.
2006
THE REGISTERED HOLDER OF THIS WARRANT, BY ITS ACCEPTANCE HEREOF, AGREES THAT IT WILL NOT SELL, TRANSFER OR ASSIGN THIS WARRANT EXCEPT AS HEREIN PROVIDED. VOID AFTER 5:00 P.M....
Warrant Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2006
STOCK OPTION AGREEMENT
Stock Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2006
AGREEMENT AND PLAN OF MERGER BY AND AMONG LADENBURG THALMANN FINANCIAL SERVICES INC., TELLURIDE ACQUISITION, INC., TELLURIDE HOLDINGS, INC. and THE STOCKHOLDERS OF TELLURIDE...
Merger Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2006
THE REGISTERED HOLDER OF THIS WARRANT, BY ITS ACCEPTANCE HEREOF, AGREES THAT IT WILL NOT SELL, TRANSFER OR ASSIGN THIS WARRANT EXCEPT AS HEREIN PROVIDED. VOID AFTER 5:00 P.M....
Warrant Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2006
THE REGISTERED HOLDER OF THIS WARRANT, BY ITS ACCEPTANCE HEREOF, AGREES THAT IT WILL NOT SELL, TRANSFER OR ASSIGN THIS WARRANT EXCEPT AS HEREIN PROVIDED. VOID AFTER 5:00 P.M....
Warrant Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2006
LADENBURG THALMANN FINANCIAL SERVICES INC. 153 East 53rd Street New York, NY 10022 July 13, 2006
LADENBURG THALMANN FINANCIAL SERVICES INC.
2006
AMENDED AND RESTATED EMPLOYMENT AGREEMENT
Employment Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2006
Ladenburg Thalmann Financial Services Inc. 153 East53rdStreet,49thFloor New York, New York 10022 April 4, 2006
LADENBURG THALMANN FINANCIAL SERVICES INC.
2006
Stock Option Agreement Amendment
Stock Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2006
Form of Subscription Agreement for Non-Affiliates
Subscription Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2005
Form of Subscription Agreement for Affiliates
Subscription Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2005
SUBSCRIPTION AGREEMENT AND INVESTOR INFORMATION STATEMENT
Subscription Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2005
LADENBURG THALMANN FINANCIAL SERVICES INC. 590 Madison Avenue,34thFloor New York, NY 10022
LADENBURG THALMANN FINANCIAL SERVICES INC.
2005
LADENBURG THALMANN FINANCIAL SERVICES INC. 590 Madison Avenue, 34th Floor New York, NY 10022
LADENBURG THALMANN FINANCIAL SERVICES INC.
2005
SUBSCRIPTION AGREEMENT AND INVESTOR INFORMATION STATEMENT
Subscription Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2005
LADENBURG THALMANN FINANCIAL SERVICES INC. 590 Madison Avenue, 34th Floor New York, NY 10022 July 18, 2005
LADENBURG THALMANN FINANCIAL SERVICES INC.
2005
SUBSCRIPTION AGREEMENT AND INVESTOR INFORMATION STATEMENT
Subscription Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2005
LADENBURG THALMANN FINANCIAL SERVICES INC. 590 Madison Avenue, 34th Floor New York, NY 10022 As of July 18, 2005
LADENBURG THALMANN FINANCIAL SERVICES INC.
2005
EX-10.1 STOCK OPTION AGREEMENT DATED AS OF JUNE 1,2005, BETWEEN COMPANY AND BRUCE S. MENDELSOHN
Stock Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2005
EX-10.2 SUBSCRIPTION AGREEMENT BETWEEN COMPANY AND BRUCE S.MENDELSOHN
Subscription Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2005
EX-10.3 STOCK OPTION AGREEMENT,DATED AS OF JUNE 1,2005, BETWEEN COMPANY AND L.KEITH MULLINS
Stock Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2005
EX-10.4 SUBSCRIPTION AGREEMENT BETWEEN COMPANY AND L.KEITH MULLINS
Subscription Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2005
EX-10.5 STOCK OPTION AGREEMENT,DATED AS OF JUNE 1,2005,BETWEEN COMPANY AND MARK D. COE
Stock Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2005
EX-10.6 SUBSCRIPTION AGREEMENT BETWEEN COMPANY AND MARK D. COE
Subscription Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2005
EX-10.7 STOCK PURCHASE AGREEMENT BETWEEN COMPANY AND MARK D. COE
Stock Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2005
AGREEMENT
LADENBURG THALMANN FINANCIAL SERVICES INC.
2005
LADENBURG THALMANN FINANCIAL SERVICES INC. 590 Madison Avenue,34thFloor New York, NY 10022 As of March 25, 2005
LADENBURG THALMANN FINANCIAL SERVICES INC.
2005
SUBSCRIPTION AGREEMENT AND INVESTOR INFORMATION STATEMENT
Subscription Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2005
LADENBURG THALMANN FINANCIAL SERVICES INC. 590 Madison Avenue,34thFloor New York, NY 10022 As of March 25, 2005
LADENBURG THALMANN FINANCIAL SERVICES INC.
2005
SEVERANCE, WAIVER AND RELEASE AGREEMENT
Severance Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2005
EMPLOYMENT AGREEMENT/ MARK D. KLEIN
Employment Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2005
STOCK OPTION AGREEMENT
Stock Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2005
INDEMNIFICATION AGREEMENT
Indemnification Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2005
SUBSCRIPTION AGREEMENT
Subscription Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
2005