Full text of LADENBURG THALMANN & CO. INC.'s X-17A-5 filed 2023-02-28 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | PUBLIC | | | | |-------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------|-----------------------------------------------------------------------------|--| | | UNITED STATES | | OMB APPROVAL | | | | SECURITIES AND EXCHANGE COMMISSION | | OMB Number: 3235-0123<br>Expires: Oct. 31, 2023<br>Estimated average burden | | | | Washington, D.C. 20549 | | | | | | | | hours per response: 12 | | | | ANNUAL REPORTS | | SEC FILE NUMBER | | | | FORM X-17A-5 | | 8-17230 | | | | PART III | | | | | | | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | | | | | | FILING FOR THE PERIOD BEGINNING 01/01/2022 ___________________________________________________________________________________________________________________________________<br>MM/DD/YY | | MM/DD/YY | | | | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: Ladenburg Thalmann & Co. Inc. | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | Broker-dealer | | | Major security-based swap participant | | | L Check here if respondent is also an OTC derivatives dealer | | | | | | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 640 5th Avenue | | | | | | | (No. and Street) | | | | | New York | NY | | 10019 | | | (City) | (State) | | (Zip Code) | | | | | | | | | | | | | | | David Schmidt | (602) 262-3301 | | david.schmidt@advisorgroup.com | | | | (Area Code - Telephone Number) | | (Email Address) | | | | B. Accountant IDENTIFICATION | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING<br>(Name) | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing * | | | | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | AZ | 85281 | | | | (City) | (State) | (Zip Code) | | | | | 34 | | | | | | | (PCAOB Registration Number, if applicable) | | | Deloitte & Touche LLP<br>100 South Mill Avenue, Suite 1800 Tempe<br>(Address)<br>October 20, 2003<br>(Date of Registration with PCAOB)(if applicable) | FOR OFFICIAL USE ONLY | | | | {1}-----------------------------------------…Read the full text as markdown