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Institutional Investment Manager
LADENBURG THALMANN FINANCIAL SERVICES INC.
LADENBURG THALMANN FINANCIAL SERVICES INC. (CIK: 0001029730) incorporated in Florida, registered under Security Brokers, Dealers & Flotation Companies, located at 4400 Biscayne Blvd., Miami, FL. Institutional holdings reported to the SEC.

Institutional Holdings (2016Q3)
Portfolio Summary: 4,917 holdings with a total value of $6,676,097,000.
#
Name
Shares
Value ($)
%
Options
Notes
101 DUKE ENERGY CORP NEW 191,124 15,283,000 0.23%
102 KIMBERLY CLARK CORP 118,500 14,934,000 0.22%
103 VANGUARD INDEX FDS 158,475 14,827,000 0.22%
104 SPDR SER TR 222,262 14,734,000 0.22%
105 PIMCO ETF TR 145,623 14,714,000 0.22%
106 CISCO SYS INC 458,481 14,534,000 0.22%
107 ALPHABET INC 18,647 14,491,000 0.22%
108 BRISTOL MYERS SQUIBB CO 267,739 14,442,000 0.22%
109 VANGUARD WORLD FDS 107,815 14,328,000 0.21%
110 BOEING CO 108,035 14,235,000 0.21%
111 LOCKHEED MARTIN CORP 58,618 14,053,000 0.21%
112 RAYTHEON CO 101,549 13,827,000 0.21%
113 VANGUARD BD INDEX FDS 156,288 13,695,000 0.21%
114 REALTY INCOME CORP 203,008 13,581,000 0.20%
115 ABBVIE INC 215,276 13,580,000 0.20%
116 ISHARES TR 228,339 13,495,000 0.20%
117 VANGUARD SCOTTSDALE FDS 163,755 13,192,000 0.20%
118 VANGUARD WORLD FD 109,450 13,175,000 0.20%
119 ISHARES TR 84,813 13,098,000 0.20%
120 NIKE INC 241,063 12,692,000 0.19%
121 SCHWAB U.S. LARGE-CAP VALUE ETF 277,458 12,643,000 0.19%
122 GILEAD SCIENCES INC 158,936 12,556,000 0.19%
123 COSTCO WHSL CORP NEW 82,087 12,514,000 0.19%
124 POWERSHARES N/C 6/4/18 46138E354 295,905 12,274,000 0.18%
125 KRAFT HEINZ CO 136,936 12,253,000 0.18%
126 ISHARES 218,537 12,207,000 0.18%
127 HEALTHCARE TR AMER INC 372,087 12,137,000 0.18%
128 VANGUARD INDEX FDS 118,877 11,787,000 0.18%
129 BANK AMER CORP 745,564 11,687,000 0.18%
130 AMGEN INC 69,542 11,603,000 0.17%
131 SCHWAB U.S. LARGE-CAP GROWTH ETF 207,938 11,538,000 0.17%
132 VANGUARD SCOTTSDALE FDS 203,423 10,976,000 0.16%
133 GUGGENHEIM ENHANCED SHORT DURATION ETF 218,488 10,968,000 0.16%
134 SCHWAB US DIVIDEND EQUITY ETF 256,326 10,844,000 0.16%
135 VANGUARD WORLD FD 110,495 10,794,000 0.16%
136 SCHWAB STRATEGIC TR 330,301 10,286,000 0.15%
137 SPDR SER TR 370,325 10,253,000 0.15%
138 FORD MTR CO DEL 846,711 10,234,000 0.15%
139 DBX ETF TRUST XTRACK MSCI EURP ETF 390,968 10,085,000 0.15%
140 ISHARES TR 123,324 10,023,000 0.15%
141 CONOCOPHILLIPS 228,797 9,946,000 0.15%
142 SELECT SECTOR SPDR TR 136,466 9,841,000 0.15%
143 LILLY ELI & CO 122,209 9,812,000 0.15%
144 VANGUARD INDEX FDS 91,764 9,761,000 0.15%
145 Powershares Exch Traded Fd Tst Ii S&p 40 250,172 9,720,000 0.15%
146 SPDR S&P MIDCAP 400 ETF TR 33,423 9,453,000 0.14%
147 CATERPILLAR INC 106,302 9,438,000 0.14%
148 ISHARES TR 84,412 9,292,000 0.14%
149 UNION PAC CORP 94,803 9,246,000 0.14%
150 ISHARES TR 31,881 9,227,000 0.14%
Page 3 of 99

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0001144204-16-134135, filed 2016.11.14).

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.