Company · CIK 1029730 # LADENBURG THALMANN FINANCIAL SERVICES INC. | CIK | [1029730](https://www.sec.gov/cgi-bin/browse-edgar?action=getcompany&CIK=0001029730) (SEC EDGAR) | | --- | --- | | Industry (SIC) | 6211 — Security Brokers, Dealers & Flotation Companies | | Incorporated in | FL | | Business address | FL | | Listed | no ticker on SEC record today | | First annual or quarterly report | 1999-11-15 | ## Offerings 11 registrations | Registration | Label and status | First filed | Last event | Filings | | --- | --- | --- | --- | --- | | 333-216733 | Shelf Effective | 2017-03-16 | 2020-02-21 | 15 | | 333-192712 | Shelf Effective | 2013-12-06 | 2015-05-22 | 5 | | 333-187322 | Shelf Effective | 2013-03-18 | 2013-06-24 | 5 | | 333-150851 | Shelf Effective | 2008-05-12 | 2008-09-15 | 3 | | 333-153373 | Shelf Effective | 2008-09-08 | 2008-09-15 | 2 | | 333-141517 | Shelf Effective | 2007-03-22 | 2007-06-01 | 2 | | 333-139244 | Shelf Effective | 2006-12-11 | 2007-02-13 | 2 | | 333-130026 | Shelf Dormant | 2005-11-30 | 2005-11-30 | 1 | | 333-130028 | Shelf Dormant | 2005-11-30 | 2005-11-30 | 1 | | 333-122240 | Shelf Dormant | 2005-01-24 | 2005-01-24 | 1 | | 333-117952 | Shelf Dormant | 2004-08-05 | 2004-08-05 | 1 | ## Filings 39 | Filed | Filing | Registration | Accession | | --- | --- | --- | --- | | 2020-02-21 | [EFFECT](https://www.sec.gov/Archives/edgar/data/1029730/999999999520000396/9999999995-20-000396-index.htm) Declared effective | 333-216733 | 9999999995-20-000396 | | 2019-05-23 | [424B5](https://www.sec.gov/Archives/edgar/data/1029730/000149315219008193/0001493152-19-008193-index.htm) Shelf takedown | 333-216733 | 0001493152-19-008193 | | 2019-05-21 | [424B5](https://www.sec.gov/Archives/edgar/data/1029730/000149315219007985/0001493152-19-007985-index.htm) Shelf takedown | 333-216733 | 0001493152-19-007985 | | 2018-08-13 | [424B5](https://www.sec.gov/Archives/edgar/data/1029730/000149315218011525/0001493152-18-011525-index.htm) Shelf takedown | 333-216733 | 0001493152-18-011525 | | 2018-08-09 | [424B5](https://www.sec.gov/Archives/edgar/data/1029730/000149315218011233/0001493152-18-011233-index.htm) Shelf takedown | 333-216733 | 0001493152-18-011233 | | 2018-06-22 | [424B5](https://www.sec.gov/Archives/edgar/data/1029730/000149315218009130/0001493152-18-009130-index.htm) Shelf takedown | 333-216733 | 0001493152-18-009130 | | 2018-06-12 | [424B5](https://www.sec.gov/Archives/edgar/data/1029730/000149315218008488/0001493152-18-008488-index.htm) Shelf takedown | 333-216733 | 0001493152-18-008488 | | 2018-05-24 | [424B5](https://www.sec.gov/Archives/edgar/data/1029730/000149315218007730/0001493152-18-007730-index.htm) Shelf takedown | 333-216733 | 0001493152-18-007730 | | 2018-05-22 | [424B5](https://www.sec.gov/Archives/edgar/data/1029730/000149315218007633/0001493152-18-007633-index.htm) Shelf takedown | 333-216733 | 0001493152-18-007633 | | 2018-02-16 | [424B5](https://www.sec.gov/Archives/edgar/data/1029730/000149315218002257/0001493152-18-002257-index.htm) Shelf takedown | 333-216733 | 0001493152-18-002257 | | 2017-11-16 | [424B5](https://www.sec.gov/Archives/edgar/data/1029730/000149315217013378/0001493152-17-013378-index.htm) Shelf takedown | 333-216733 | 0001493152-17-013378 | | 2017-11-13 | [424B5](https://www.sec.gov/Archives/edgar/data/1029730/000149315217012806/0001493152-17-012806-index.htm) Shelf takedown | 333-216733 | 0001493152-17-012806 | | 2017-05-22 | [424B5](https://www.sec.gov/Archives/edgar/data/1029730/000119312517178226/0001193125-17-178226-index.htm) Shelf takedown | 333-216733 | 0001193125-17-178226 | | 2017-04-27 | [EFFECT](https://www.sec.gov/Archives/edgar/data/1029730/999999999517000996/9999999995-17-000996-index.htm) Declared effective | 333-216733 | 9999999995-17-000996 | | 2017-03-16 | [S-3](https://www.sec.gov/Archives/edgar/data/1029730/000102973017000007/0001029730-17-000007-index.htm) Shelf registered | 333-216733 | 0001029730-17-000007 | | 2015-05-22 | [424B5](https://www.sec.gov/Archives/edgar/data/1029730/000119312515198778/0001193125-15-198778-index.htm) Shelf takedown | 333-192712 | 0001193125-15-198778 | | 2014-11-21 | [424B5](https://www.sec.gov/Archives/edgar/data/1029730/000119312514420859/0001193125-14-420859-index.htm) Shelf takedown | 333-192712 | 0001193125-14-420859 | | 2014-06-13 | [424B5](https://www.sec.gov/Archives/edgar/data/1029730/000119312514236208/0001193125-14-236208-index.htm) Shelf takedown | 333-192712 | 0001193125-14-236208 | | 2013-12-20 | [EFFECT](https://www.sec.gov/Archives/edgar/data/1029730/999999999513003640/9999999995-13-003640-index.htm) Declared effective | 333-192712 | 9999999995-13-003640 | | 2013-12-06 | [S-3](https://www.sec.gov/Archives/edgar/data/1029730/000114420413066132/0001144204-13-066132-index.htm) Shelf registered | 333-192712 | 0001144204-13-066132 | | 2013-06-24 | [424B5](https://www.sec.gov/Archives/edgar/data/1029730/000119312513269176/0001193125-13-269176-index.htm) Shelf takedown | 333-187322 | 0001193125-13-269176 | | 2013-05-22 | [424B5](https://www.sec.gov/Archives/edgar/data/1029730/000119312513231626/0001193125-13-231626-index.htm) Shelf takedown | 333-187322 | 0001193125-13-231626 | | 2013-05-14 | [424B5](https://www.sec.gov/Archives/edgar/data/1029730/000119312513217919/0001193125-13-217919-index.htm) Shelf takedown | 333-187322 | 0001193125-13-217919 | | 2013-04-19 | [EFFECT](https://www.sec.gov/Archives/edgar/data/1029730/999999999513001087/9999999995-13-001087-index.htm) Declared effective | 333-187322 | 9999999995-13-001087 | | 2013-03-18 | [S-3](https://www.sec.gov/Archives/edgar/data/1029730/000114420413015523/0001144204-13-015523-index.htm) Shelf registered | 333-187322 | 0001144204-13-015523 | | 2008-09-15 | [EFFECT](https://www.sec.gov/Archives/edgar/data/1029730/999999999508002824/9999999995-08-002824-index.htm) Declared effective | 333-153373 | 9999999995-08-002824 | | 2008-09-15 | [EFFECT](https://www.sec.gov/Archives/edgar/data/1029730/999999999508002818/9999999995-08-002818-index.htm) Declared effective | 333-150851 | 9999999995-08-002818 | | 2008-09-08 | [S-3](https://www.sec.gov/Archives/edgar/data/1029730/000095014408006932/0000950144-08-006932-index.htm) Shelf registered | 333-153373 | 0000950144-08-006932 | | 2008-05-20 | [EFFECT](https://www.sec.gov/Archives/edgar/data/1029730/999999999508001631/9999999995-08-001631-index.htm) Declared effective | 333-150851 | 9999999995-08-001631 | | 2008-05-12 | [S-3](https://www.sec.gov/Archives/edgar/data/1029730/000095014408004021/0000950144-08-004021-index.htm) Shelf registered | 333-150851 | 0000950144-08-004021 | | 2007-06-01 | [EFFECT](https://www.sec.gov/Archives/edgar/data/1029730/999999999507002176/9999999995-07-002176-index.htm) Declared effective | 333-141517 | 9999999995-07-002176 | | 2007-03-22 | [S-3](https://www.sec.gov/Archives/edgar/data/1029730/000095014407002556/0000950144-07-002556-index.htm) Shelf registered | 333-141517 | 0000950144-07-002556 | | 2007-02-13 | [EFFECT](https://www.sec.gov/Archives/edgar/data/1029730/999999999507000628/9999999995-07-000628-index.htm) Declared effective | 333-139244 | 9999999995-07-000628 | | 2006-12-11 | [S-3](https://www.sec.gov/Archives/edgar/data/1029730/000095014406011454/0000950144-06-011454-index.htm) Shelf registered | 333-139244 | 0000950144-06-011454 | | 2005-11-30 | [S-3](https://www.sec.gov/Archives/edgar/data/1029730/000095014405012337/0000950144-05-012337-index.htm) Shelf registered | 333-130028 | 0000950144-05-012337 | | 2005-11-30 | [S-3](https://www.sec.gov/Archives/edgar/data/1029730/000095014405012336/0000950144-05-012336-index.htm) Shelf registered | 333-130026 | 0000950144-05-012336 | | 2005-01-24 | [S-3](https://www.sec.gov/Archives/edgar/data/1029730/000095014405000473/0000950144-05-000473-index.htm) Shelf registered | 333-122240 | 0000950144-05-000473 | | 2004-09-20 | [RW](https://www.sec.gov/Archives/edgar/data/1029730/000095014404009184/0000950144-04-009184-index.htm) Withdrawn | 333-88866 | 0000950144-04-009184 | | 2004-08-05 | [S-3](https://www.sec.gov/Archives/edgar/data/1029730/000095014404007776/0000950144-04-007776-index.htm) Shelf registered | 333-117952 | 0000950144-04-007776 | [All filings of this company](https://equitycapital.markets/filings?cik=1029730) · [CSV](https://equitycapital.markets/filings.csv?cik=1029730) --- Source page: https://equitycapital.markets/company/1029730 · Data: U.S. SEC EDGAR · CC BY 4.0