Full text of LADENBURG THALMANN & CO. INC.'s X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 #### OMB APPROVAL OMB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response ...... 12.00 ## **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** SEC FILE NUMBER B-17230 FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING 01 /01 /2020 | | | AND ENDING 12/31 /2020<br>~~~~~~~~~~~<br>MM/DD/YY | | |-------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------|------------|---------------------------------------------------|--| | | MM/DD/YY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF BROKER-DEALER: Ladenburg Thalmann & Co. Inc. | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM l.D. NO. | | | 640 5th Avenue, 4th floor | ~ ·--; - 'J \ ~ '· | | | | | New York | . , ' . - ~-·' ;.<br>·, (No.\1rid Street) .<br>< . '' ; ~ ''<br>; '. -' :<br>·;.<br>NY | | 10019 | | | (City) | (State) | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Diane Chillemi | | | (631) 270-1607 | | | | | | (Area Code- Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | Deloitte & T ouche LLP | | | | | | | (Name - ifi11divid11af, slate fast, firs/, middle name) | | | | | 2901 N. Central Ave Suite 1200 Phoenix | | AZ | 85012 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | j {<br>j Certified Public Accountant | | | | | | Public Accountant | | | | | | B | Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17 a-5 (e) (2)* > Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. SEC 1410 (11-05) {1}----------…Read the full text as markdown