-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, AhvI6VmWG1PlBckyfznI12wye1HZTWf6yPcV68jTZ+H5vInzBKXUhfR3VC/Qj9Nh nX91EEFs9K+So1e8ubQHuw== 0001209191-09-056310.txt : 20091210 0001209191-09-056310.hdr.sgml : 20091210 20091210075536 ACCESSION NUMBER: 0001209191-09-056310 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091209 FILED AS OF DATE: 20091210 DATE AS OF CHANGE: 20091210 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROSENSTOCK RICHARD J CENTRAL INDEX KEY: 0001044006 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15799 FILM NUMBER: 091232214 MAIL ADDRESS: STREET 1: C/O GAINES BERLAND INC STREET 2: 1055 STEWART AVENUE CITY: BETHPAGE STATE: NY ZIP: 11714 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: LADENBURG THALMANN FINANCIAL SERVICES INC CENTRAL INDEX KEY: 0001029730 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES [6200] IRS NUMBER: 650701248 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 590 MADISON AVENUE 34TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 5164701000 MAIL ADDRESS: STREET 1: 590 MADISON AVENUE 34TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: GBI CAPITAL MANAGEMENT CORP DATE OF NAME CHANGE: 19990826 FORMER COMPANY: FORMER CONFORMED NAME: FROST HANNA CAPITAL GROUP INC DATE OF NAME CHANGE: 19961227 4 1 doc4.xml FORM 4 SUBMISSION X0303 4 2009-12-09 0 0001029730 LADENBURG THALMANN FINANCIAL SERVICES INC LTS 0001044006 ROSENSTOCK RICHARD J C/O LADENBURG THALMANN & CO. INC., 520 MADISON AVE, 9TH FLOOR NEW YORK NY 10022 1 0 0 0 Common Stock 2009-12-09 4 P 0 50000 0.55 A 2276346 I Held by The Richard J. Rosenstock Revocable Living Trust Dated 3/5/96 Common Stock 50000 I Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock Common Stock 243562 D Common Stock 5000 I Held by the NFS/FMTC IRA for the benefit of Richard J. Rosenstock Common Stock 5000 I Held by the NFS/FMTC IRA for the benefit of Roni L. Rosenstock Mr. Rosenstock is the sole trustee and beneficiary of The Richard J. Rosenstock Revocable Living Trust. /s/ Richard J. Rosenstock 2009-12-09 -----END PRIVACY-ENHANCED MESSAGE-----