-----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, L3keYPhoeRnASe9q9fsyyHvWYuMCdSKw8RuOKedlPKv+glSC598KEhhT6UVT9hL8 ukNrFGj4ADpU2RCtEFHzhQ== 0001483964-10-000002.txt : 20100216 0001483964-10-000002.hdr.sgml : 20100215 20100216142225 ACCESSION NUMBER: 0001483964-10-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100216 DATE AS OF CHANGE: 20100216 EFFECTIVENESS DATE: 20100216 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Ladenburg Thalmann Asset Management CENTRAL INDEX KEY: 0001483964 IRS NUMBER: 133286023 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13809 FILM NUMBER: 10606334 BUSINESS ADDRESS: STREET 1: 520 MADISON AVENUE STREET 2: 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2124092021 MAIL ADDRESS: STREET 1: 520 MADISON AVENUE STREET 2: 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR 1 ltam13f.txt LADENBURG THALMANN ASSET MANAGEMENT 13F UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 12-31-09 ------------ Check here if Amendment [ ]; Amendment Number: ------------ This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Ladenburg Thalmann Asset Management -------------------------------------- -------------------------------------- Address: 520 Madison Ave, FL 9 -------------------------------------- New York, NY -------------------------------------- Form 13F File Number: 28- ------------------- The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Philip Blancato ----------------------------- Title: President ----------------------------- Phone: 2124092682 ----------------------------- Signature, Place, and Date of Signing: /S/ Philip Blancato NEw York, NY 2-12-10 - - ------------------ ---------------- --------- [Signature] [City, State] [Date] Report Type (Check only one.): [x] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: Form 13F File Number Name 28- None ------------------ -------------------------- FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 ------------------- Form 13F Information Table Entry Total: 794 ------------------- Form 13F Information Table Value Total: $105,217 (x1000) ------------------- List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. NO. FORM 13F FILE NUMBER NAME NAME 1 28- None ---- ------------------------- --------------------------- FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000)PRN AMT PRN CALL DSCRETN MANAGERS None SHARED Sole ABB LTD SPONSORED ADR 000375204 16 850 SH SOLE 01 16 ABBOTT LABORATORIES COM 002824100 42 780 SH SOLE 01 42 ABBOTT LABS SR NT 002824AU4 5 5000 SH SOLE 01 5 ABERDEEN ASIA PACIFIC INCOME FD 003009107 44 7000 SH SOLE 01 44 ABRAXIS BIOSCIENCE INC NEW COM 00383Y102 2 56 SH SOLE 01 2 ABS LIMITED PARTNERSHIP 003999257 304 303945 SH SOLE 01 304 ACADIA REALTY TRUST COM 004239109 1 52 SH SOLE 01 1 ADIDAS SALOMON AG SPON ADR 00687A107 1 22 SH SOLE 01 1 ADVANCED MICRO DEVICES INC 007903107 17 1750 SH SOLE 01 17 AEROPOSTALE COM 007865108 1 40 SH SOLE 01 1 AFFILIATED MANAGERS GROUP 008252108 7 105 SH SOLE 01 7 AGRIUM INC ISIN #CA0089161081 008916108 4 65 SH SOLE 01 4 AIR PRODUCTS & CHEM COM 009158106 28 350 SH SOLE 01 28 AIR TRANS SVCS GROUP INC COM 00922R105 1 400 SH SOLE 01 1 ALABAMA ST PORT AUTH DOCKS FACS REV REV 010604BN5 5 5000 SH SOLE 01 5 ALASKA AIR GROUP INC COM 011659109 3 100 SH SOLE 01 3 ALBERTSONS INC NT 013104AJ3 5 5000 SH SOLE 01 5 ALCATEL-LUCENT SPON ADR REP 1 EUR2 SER A 013904305 0 147 SH SOLE 01 0 ALCOA INC ISIN #US0138171014 013817101 13 800 SH SOLE 01 13 ALJ REGL HLDGS INC COM 001627108 1 2625 SH SOLE 01 1 ALLIANCEBERNSTEIN GLOBAL HIGH INCOME 01879R106 44 3322 SH SOLE 01 44 ALLIANCEBERNSTEIN INCOME FD INC 01881E101 23 2824 SH SOLE 01 23 ALLIED CAPITAL CORP COM 01903Q108 0 100 SH SOLE 01 0 ALLOY INC COM NEW COM 019855303 3 350 SH SOLE 01 3 ALTRIA GROUP INC COM 02209S103 10 500 SH SOLE 01 10 AMDOCS LIMITED ISIN #GB0022569080 G02602103 22 784 SH SOLE 01 22 AMERICAN INDEPENDENCE CORP 026760405 2 356 SH SOLE 01 2 AMERICAN APPAREL INC COM 023850100 5 1750 SH SOLE 01 5 AMERICAN EXPRESS CO COM 025816109 35 857 SH SOLE 01 35 AMERICAN EXPRESS CR CORP MTNBE 0258M0CY3 3 3000 SH SOLE 01 3 AMERICAN INTL GROUP INC COM NEW 026874784 1 35 SH SOLE 01 1 AMERICAN MUN PWR OHIO INC REV ENERGY 02765UAZ7 10 10000 SH SOLE 01 10 AMERICAN SATELLITE NETWORK INC WTS 02937P124 0 100 SH SOLE 01 0 AMERICAS CAR MART INC 03062T105 2 70 SH SOLE 01 2 AMERN SUPERCONDUCTOR CORP 030111108 2 53 SH SOLE 01 2 ANADARKO PETE CORP COM 032511107 53 850 SH SOLE 01 53 ANHEUSER BUSCH COS BOND 035229DC4 5 5000 SH SOLE 01 5 ANHEUSER BUSCH COS INC NT 035229CR2 20 20000 SH SOLE 01 20 ANNALY CAPITAL MANAGEMENT INC COM 035710409 17 1000 SH SOLE 01 17 AOL INC COM USD0.01 COM 00184X105 9 372 SH SOLE 01 9 AON CORP COM 037389103 18 461 SH SOLE 01 18 APOLLO INVT CORP COM SH BEN INT 03761U106 368 38610 SH SOLE 01 368 APPLE INC COM 037833100 72 340 SH SOLE 01 72 APPLIED NEUROSOLUTIONS INC 03823Y203 0 1 SH SOLE 01 0 APPLIED MATERIALS INC 038222105 3 200 SH SOLE 01 3 ARCH COAL INC COM 039380100 1 50 SH SOLE 01 1 ARCHER DANIELS MIDLAND 039483102 2 50 SH SOLE 01 2 ARES CAPITAL CORP COM STK USD0.001 04010L103 47 3764 SH SOLE 01 47 ARIZONA HEALTH FACS AUTH REV REV BDS 040507KU8 5 5000 SH SOLE 01 5 ARLINGTON ASSET INVT CORP CL A NEW 041356205 1 67 SH SOLE 01 1 ARMOUR RESIDENTIAL REIT INC WT EXP 042315119 3 15000 SH SOLE 01 3 ASIA SPECIAL ACQUISITION CORP G0538M105 51 5148 SH SOLE 01 51 ASSURED GUARANTY LTD COM USD0.01 G0585R106 2 100 SH SOLE 01 2 AT&T INC COM 00206R102 58 2052 SH SOLE 01 58 AT&T INC COM 00206RAJ1 16 15000 SH SOLE 01 16 AT&T INC NOTES 00206RAM4 5 5000 SH SOLE 01 5 ATLAS ACQUISITION HLDGS CORP COM 049162100 61 6132 SH SOLE 01 61 AUTOMATIC DATA PROCESSING INC 053015103 14 331 SH SOLE 01 14 AVIS BUDGET GROUP INC COMMON 053774105 0 10 SH SOLE 01 0 AWARE INC MASS COM 05453N100 2 750 SH SOLE 01 2 BAC CAPITAL TR I CAP SECS 055187207 44 2000 SH SOLE 01 44 BADGER METER INC COM COM 056525108 1 28 SH SOLE 01 1 BAKER HUGHES INC COM 057224107 34 850 SH SOLE 01 34 BANC OF AMERICA MTG SER 2003-5 CL 2A1 05948XNB3 4 17000 SH SOLE 01 4 BANCO BILBAO VIZCAYA ARGENTARIA S 05946K101 22 1219 SH SOLE 01 22 BANK AMER CORP 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CO COM NPV 884903105 2 66 SH SOLE 01 2 THORNBURG MTG INC COM NEW 885218800 0 10 SH SOLE 01 0 TIME WARNER INC 887317AD7 5 5000 SH SOLE 01 5 TIME WARNER CABLE INC COM 88732J207 42 1011 SH SOLE 01 42 TIME WARNER INC NEW COM NEW 887317303 120 4127 SH SOLE 01 120 TIVO INC COM 888706108 5 450 SH SOLE 01 5 TOUSA INC SR SB NT 872962AC9 0 10000 SH SOLE 01 0 TOYS R US INC BOND 892335AL4 11 12000 SH SOLE 01 11 TRANSDIGM GROUP INC COM 893641100 1 23 SH SOLE 01 1 TRANSOCEAN LTD ZUG NAMEN -AKT H8817H100 8 102 SH SOLE 01 8 TRIAN ACQUISITION I CORP COM 89582E108 41 4149 SH SOLE 01 41 TRUMP ENTMT RESORTS HLDGS L P 89816WAA4 0 13000 SH SOLE 01 0 TSR INC COM 872885108 0 100 SH SOLE 01 0 TWO HBRS INVT CORP WT EXP 11/07/2013 90187B119 3 6068 SH SOLE 01 3 TYCO INTERNATIONAL LTD SHS H89128104 2 50 SH SOLE 01 2 TYLER TECHNOLOGIES INC 902252105 1 75 SH SOLE 01 1 U S CONCRETE INC SR SB 90333LAB8 5 8000 SH SOLE 01 5 U S TREAS SEC STRIPPED INT PMT 912833CX6 10 10000 SH SOLE 01 10 U S TREAS SEC STRIPPED INT PMT 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912828GN4 28 25000 SH SOLE 01 28 UNITED STATES TREAS NTS 912828KM1 343 325000 SH SOLE 01 343 UNITED STATES TREAS NTS TIPS 912828BD1 93 75000 SH SOLE 01 93 UNITED STATES TREAS NTS TIPS 912828DH0 59 50000 SH SOLE 01 59 UNITED STATES TREAS TIPS 912828CP3 61 50000 SH SOLE 01 61 UNITED TECHNOLOGIES CORP 913017109 10 150 SH SOLE 01 10 UNITEDHEALTH GROUP COM 91324P102 15 480 SH SOLE 01 15 UPHONIA INC COM COM 91531B102 0 41 SH SOLE 01 0 UTAH HSG CORP SINGLE FAMILY MTG REV 917436N60 95 95000 SH SOLE 01 95 VAALCO ENERGY INC COM NEW 91851C201 4 900 SH SOLE 01 4 VAIL RESORTS INC COM 91879Q109 12 325 SH SOLE 01 12 VAL VERDE CALIF UNI SCH DIST CTFS PARTN 918826DY1 6 5000 SH SOLE 01 6 VALLEY NATL BANCORP COM 919794107 0 5 SH SOLE 01 0 VAN KAMPEN MERRITT ADVANTAGE 92112K206 400 16 SH SOLE 01 400 VAN KAMPEN ADVANTAGE MUN INCOME TR II 92112K404 450 18 SH SOLE 01 450 VAN KAMPEN MERRITT CALIF VALUE MUN 92112B206 75 3 SH SOLE 01 75 VANGUARD EMERGING MKTS VIPERS 922042858 184 4497 SH SOLE 01 184 VANGUARD 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10000 SH SOLE 01 10 WACHOVIA CORP NEW SB DEB 929903AM4 5 6000 SH SOLE 01 5 WAL MART STORES INC NT 931142BZ5 36 35000 SH SOLE 01 36 WASHINGTON ST HEALTH CARE FACS AUTH REV 93978EFS6 5 5000 SH SOLE 01 5 WASHINGTON ST HEALTH CARE FACS AUTH REV 93978EFU1 5 5000 SH SOLE 01 5 WATSCO INC COMMON CL A RECLASSIFIED AS 942622200 3 60 SH SOLE 01 3 WAYNE CHARTER CNTY MICH ARPT REV ARPT 944314GD9 4 5000 SH SOLE 01 4 WEBMD HEALTH CORP CL A 94770V102 3 66 SH SOLE 01 3 WELLS FARGO & CO NEW 949746101 32 1200 SH SOLE 01 32 WELLS FARGO COMPANY BOND 949746NX5 5 5000 SH SOLE 01 5 WENDYS ARBYS GROUP INC COM 950587105 7 1551 SH SOLE 01 7 WEST MARINE INC COM 954235107 8 950 SH SOLE 01 8 WESTERN INTER MUNI FD INC COM 958435109 8 925 SH SOLE 01 8 WILLIAMS COS INC COM 969457100 1 50 SH SOLE 01 1 WISCONSIN HSG & ECONOMIC DEV AUTH 97689P2P2 9 10000 SH SOLE 01 9 WISCONSIN ST HEALTH & EDL FACS AUTH REV 97710N8C3 5 5000 SH SOLE 01 5 WISCONSIN ST HEALTH & EDL FACS AUTH REV 97710VDW5 6 5000 SH SOLE 01 6 WISDOMTREE EMERG MKTS EQUITY INCOME 97717W315 4730 95154 SH SOLE 01 4730 WISDOMTREE TR DEFA FD 97717W703 7846 168054 SH SOLE 01 7846 WISDOMTREE TR EMERGING MKTS 97717W281 8 181 SH SOLE 01 8 WISDOMTREE TR INTL SMALLCAP DIVID FD 97717W760 7 149 SH SOLE 01 7 WLG INC COM N/C FROM 931121107 92933F105 0 500 SH SOLE 01 0 WORLDCOM INC GA (MCI GROUP) 98157D304 0 8 SH SOLE 01 0 WORLDCOM INC GA NEW WORLDCOM GROUP COM 98157D106 0 5140 SH SOLE 01 0 WRIGHT EXPRESS CORP 98233Q105 2 66 SH SOLE 01 2 WYNDHAM WORLDWIDE CORP COM 98310W108 8 380 SH SOLE 01 8 XOMA LTD COM STK USD0.0005 G9825R107 4 5125 SH SOLE 01 4 XTO ENERGY INC COM 98385X106 3 62 SH SOLE 01 3 YAHOO INC COM 984332106 7 400 SH SOLE 01 7 ZAP.COM CORP COM 989063102 0 10 SH SOLE 01 0 ZWEIG TOTAL RETURN FD INC 989837109 0 2 SH SOLE 01 0
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