LADENBURG THALMANN FINANCIAL SERVICES INC. current holdings: USA Everything Else
LADENBURG THALMANN FINANCIAL SERVICES INC. reported $0.02 billion in partnership units, exchange-traded notes and anything else (listed in the US), 84 positions, in its Form 13F for the quarter ended 2016-09-30; the largest are UBS AG JERSEY BRH, * JPMORGAN CHASE & CO, * POWERSHS DB MULTI SECT COMM.
- UBS AG JERSEY BRH: Country of operation —; Class ETRAC WELLS BDCI; Shares 93,169; Value $2,062,000.
- * JPMORGAN CHASE & CO: Country of operation —; Class ALERIAN ML ETN; Shares 47,227; Value $1,488,000.
- * POWERSHS DB MULTI SECT COMM: Country of operation —; Class DB PREC MTLS; Shares 34,815; Value $1,403,000.
- * POWERSHS DB US DOLLAR INDEX: Country of operation —; Class DOLL INDX BULL; Shares 55,969; Value $1,388,000.
Form 13F-HR as filed (SEC CIK 1029730): quarter ended 2016-09-30, filed 2016-11-14. The manager files one row per sub-manager; rows for the same security, class and put/call are added together.
| Stock | Country of operation | Class | Shares | Value | Quarter end | Filed |
|---|---|---|---|---|---|---|
| UBS AG JERSEY BRH CUSIP 902641588 | ETRAC WELLS BDCI | 93,169 | $2,062,000 | 2016-09-30 | 2016-11-14 | |
| * JPMORGAN CHASE & CO CUSIP 46625H365 | ALERIAN ML ETN | 47,227 | $1,488,000 | 2016-09-30 | 2016-11-14 | |
| * POWERSHS DB MULTI SECT COMM CUSIP 73936B200 | DB PREC MTLS | 34,815 | $1,403,000 | 2016-09-30 | 2016-11-14 | |
| * POWERSHS DB US DOLLAR INDEX CUSIP 73936D107 | DOLL INDX BULL | 55,969 | $1,388,000 | 2016-09-30 | 2016-11-14 | |
| CREDIT SUISSE NASSAU BRH CUSIP 22542D795 | INVRS VIX STERM | 28,385 | $1,064,000 | 2016-09-30 | 2016-11-14 | |
| * POWERSHS DB MULTI SECT COMM CUSIP 73936B101 | DB ENERGY FUND | 63,518 | $797,000 | 2016-09-30 | 2016-11-14 | |
| DEUTSCHE BK AG LONDON CUSIP 25153Q658 | ETN DJ HY 2022 | 35,208 | $639,000 | 2016-09-30 | 2016-11-14 | |
| * BARCLAYS BK PLC CUSIP 06740Q252 | IPATH S&P500 VIX | 17,387 | $592,000 | 2016-09-30 | 2016-11-14 | |
| * POWERSHS DB MULTI SECT COMM CUSIP 73936B507 | DB OIL FUND | 61,212 | $543,000 | 2016-09-30 | 2016-11-14 | |
| * CURRENCYSHARES AUSTRALIAN DL CUSIP 23129U101 | AUSTRALIAN DOL | 6,855 | $517,000 | 2016-09-30 | 2016-11-14 | |
| * BARCLAYS BANK PLC CUSIP 06739H214 | ETN DJUBS SGAR38 | 9,465 | $484,000 | 2016-09-30 | 2016-11-14 | |
| * CREDIT SUISSE NASSAU BRH CUSIP 22542D852 | X LINK CUSH MLP | 19,845 | $429,000 | 2016-09-30 | 2016-11-14 | |
| * CREDIT SUISSE AG NASSAU BRH CUSIP 22539T621 | EXCHTRADE MIDTER | 36,071 | $414,000 | 2016-09-30 | 2016-11-14 | |
| * CURRENCYSHS BRIT POUND STER CUSIP 23129S106 | BRIT POUND STE | 2,262 | $287,000 | 2016-09-30 | 2016-11-14 | |
| PROSPECT CAPITAL CORPORATION CUSIP 74348TAL6 | NOTE 5.750% 3/1 | 278,000 | $286,000 | 2016-09-30 | 2016-11-14 | |
| * BARCLAYS BK PLC CUSIP 06740Q260 | IPATH S&P MT ETN | 7,071 | $275,000 | 2016-09-30 | 2016-11-14 | |
| * ANTERO MIDSTREAM PARTNERS LP CUSIP 03673L103 | UNT LTD PARTN | 9,681 | $258,000 | 2016-09-30 | 2016-11-14 | |
| * BOARDWALK PIPELINE PARTNERS CUSIP 096627104 | UT LTD PARTNER | 13,452 | $231,000 | 2016-09-30 | 2016-11-14 | |
| PROSPECT CAPITAL CORPORATION CUSIP 74348TAK8 | NOTE 5.375%10/1 | 221,000 | $226,000 | 2016-09-30 | 2016-11-14 | |
| PROSPECT CAPITAL CORPORATION CUSIP 74348TAM4 | NOTE 5.875% 1/1 | 184,000 | $189,000 | 2016-09-30 | 2016-11-14 | |
| * ARCELORMITTAL SA LUXEMBOURG CUSIP 03938L104 | NY REGISTRY SH | 30,747 | $186,000 | 2016-09-30 | 2016-11-14 | |
| BLACKROCK CAPITAL INVESTMENT CUSIP 092533AB4 | NOTE 5.500% 2/1 | 165,000 | $170,000 | 2016-09-30 | 2016-11-14 | |
| * BARCLAYS BK PLC CUSIP 06738C786 | IPSP CROIL ETN | 29,203 | $170,000 | 2016-09-30 | 2016-11-14 | |
| * AEGON N V CUSIP 007924103 | NY REGISTRY SH | 41,002 | $158,000 | 2016-09-30 | 2016-11-14 | |
| * UBS AG JERSEY BRH CUSIP 902641646 | ALERIAN INFRST | 5,416 | $154,000 | 2016-09-30 | 2016-11-14 | |
| HANCOCK JOHN INV TRUST CUSIP 41013P749 | United States | TAX ADV GLB SH | 9,600 | $105,000 | 2016-09-30 | 2016-11-14 |
| DEUTSCHE BK AG LONDON CUSIP 25153Q708 | ELE MORN TTL22 | 3,145 | $74,000 | 2016-09-30 | 2016-11-14 | |
| * CVR REFNG LP CUSIP 12663P107 | COMUNIT REP LT | 8,124 | $71,000 | 2016-09-30 | 2016-11-14 | |
| * POWERSHS DB MULTI SECT COMM CUSIP 73936B705 | DB BASE METALS | 5,065 | $71,000 | 2016-09-30 | 2016-11-14 | |
| * SWEDISH EXPT CR CORP CUSIP 870297603 | ROG AGRI ETN22 | 11,180 | $69,000 | 2016-09-30 | 2016-11-14 | |
| * BARCLAYS BK PLC CUSIP 06739F101 | ETN DJUBS COPR37 | 2,429 | $62,000 | 2016-09-30 | 2016-11-14 | |
| * CALUMET SPECIALTY PRODS PTNR CUSIP 131476103 | United States | UT LTD PARTNER | 13,300 | $59,000 | 2016-09-30 | 2016-11-14 |
| BARCLAYS BK PLC CUSIP 06742C152 | BARC YLD ETN LKD | 396 | $52,000 | 2016-09-30 | 2016-11-14 | |
| * NAVIOS MARITIME PARTNERS L P CUSIP Y62267102 | UNIT LPI | 37,104 | $52,000 | 2016-09-30 | 2016-11-14 | |
| * BARCLAYS BANK PLC CUSIP 06739H644 | ETN DJUBS NAT37 | 95,775 | $50,000 | 2016-09-30 | 2016-11-14 | |
| CREDIT SUISSE NASSAU BRH CUSIP 22542D423 | LG CP GRTH ENH | 326 | $45,000 | 2016-09-30 | 2016-11-14 | |
| CREDIT SUISSE NASSAU BRH CUSIP 22542D449 | X LINK SILVER SH | 4,403 | $44,000 | 2016-09-30 | 2016-11-14 | |
| * SWEDISH EXPT CR CORP CUSIP 870297801 | ROG TTL ETN 22 | 8,435 | $43,000 | 2016-09-30 | 2016-11-14 | |
| ARES CAP CORP CUSIP 04010LAG8 | NOTE 4.875% 3/1 | 42,000 | $42,000 | 2016-09-30 | 2016-11-14 | |
| * BARCLAYS BANK PLC CUSIP 06739H297 | ETN DJUBSCOFFE38 | 1,383 | $31,000 | 2016-09-30 | 2016-11-14 | |
| * POWERSHS DB MULTI SECT COMM CUSIP 73936B606 | DB GOLD FUND | 726 | $31,000 | 2016-09-30 | 2016-11-14 | |
| BARCLAYS BK PLC CUSIP 06740P114 | IPTH PURE BRD | 986 | $26,000 | 2016-09-30 | 2016-11-14 | |
| ARES CAP CORP CUSIP 04010LAM5 | NOTE 4.375% 1/1 | 24,000 | $25,000 | 2016-09-30 | 2016-11-14 | |
| * BARCLAYS BK PLC CUSIP 06739F291 | IPMS INDIA ETN | 360 | $25,000 | 2016-09-30 | 2016-11-14 | |
| MORGAN STANLEY CUSIP 61760E846 | CUSHNG MLP ETN | 2,953 | $24,000 | 2016-09-30 | 2016-11-14 | |
| UBS AG JERSEY BRH CUSIP 902641620 | LKD ALRN NTGAS | 877 | $22,000 | 2016-09-30 | 2016-11-14 | |
| UBS AG LONDON BRH CUSIP 90267B682 | ETRAC ALER MLP | 1,000 | $20,000 | 2016-09-30 | 2016-11-14 | |
| BARCLAYS BK PLC CUSIP 06742W430 | LKD PERF BCLY | 336 | $19,000 | 2016-09-30 | 2016-11-14 | |
| BARCLAYS BK PLC CUSIP 06738C794 | IPSPGS TTL ETN | 1,288 | $18,000 | 2016-09-30 | 2016-11-14 | |
| * POWERSHS DB MULTI SECT COMM CUSIP 73936B309 | DB SILVER FUND | 612 | $18,000 | 2016-09-30 | 2016-11-14 | |
| * BARCLAYS BANK PLC CUSIP 06739H305 | ETN DJUBS GRNS37 | 587 | $17,000 | 2016-09-30 | 2016-11-14 | |
| BARCLAYS BK PLC CUSIP 06742C129 | BARC ETN EUR50 | 190 | $17,000 | 2016-09-30 | 2016-11-14 | |
| * JP ENERGY PARTNERS LP CUSIP 46643C109 | UNT REPST LTD | 2,000 | $15,000 | 2016-09-30 | 2016-11-14 | |
| LIBERTY MEDIA CORP CUSIP 530715AG6 | United States | DEB 4.000%11/1 | 25,000 | $14,000 | 2016-09-30 | 2016-11-14 |
| TWITTER INC CUSIP 90184LAB8 | NOTE 0.250% 9/1 | 15,000 | $14,000 | 2016-09-30 | 2016-11-14 | |
| * LEGACY RESVS LP CUSIP 524707304 | UNIT LP INT | 10,082 | $13,000 | 2016-09-30 | 2016-11-14 | |
| RAIT FINANCIAL TRUST CUSIP 749227AA2 | NOTE 7.000% 4/0 | 13,000 | $13,000 | 2016-09-30 | 2016-11-14 | |
| * SUNCOKE ENERGY PARTNERS L P CUSIP 86722Y101 | COMUNIT REP LT | 745 | $11,000 | 2016-09-30 | 2016-11-14 | |
| CREDIT SUISSE NASSAU BRH CUSIP 22542D688 | 3X LONG GOLD | 809 | $10,000 | 2016-09-30 | 2016-11-14 | |
| * POWERSHS DB US DOLLAR INDEX CUSIP 73936D206 | DOLL INDX BEAR | 460 | $10,000 | 2016-09-30 | 2016-11-14 | |
| UBS AG LONDON BRH CUSIP 90267B765 | ETRAC 2X LEV LNG | 530 | $10,000 | 2016-09-30 | 2016-11-14 | |
| PROSPECT CAPITAL CORPORATION CUSIP 74348TAQ5 | NOTE 4.750% 4/1 | 10,000 | $10,000 | 2016-09-30 | 2016-11-14 | |
| * ALON USA PARTNERS LP CUSIP 02052T109 | UT LTDPART INT | 1,031 | $9,000 | 2016-09-30 | 2016-11-14 | |
| ARES CAP CORP CUSIP 04010LAJ2 | NOTE 4.750% 1/1 | 9,000 | $9,000 | 2016-09-30 | 2016-11-14 | |
| * BARCLAYS BANK PLC CUSIP 06739H271 | ETN DJUBSCOTTN38 | 200 | $9,000 | 2016-09-30 | 2016-11-14 | |
| GOLDMAN SACHS GROUP INC CUSIP 38144L852 | SP ENHCMD37ETN | 443 | $9,000 | 2016-09-30 | 2016-11-14 | |
| WEB COM GROUP INC CUSIP 94733AAA2 | NOTE 1.000% 8/1 | 10,000 | $9,000 | 2016-09-30 | 2016-11-14 | |
| TESLA MTRS INC CUSIP 88160RAC5 | NOTE 1.250% 3/0 | 10,000 | $9,000 | 2016-09-30 | 2016-11-14 | |
| BARCLAYS BK PLC CUSIP 06739F135 | ETN CBOE SPBUY | 119 | $8,000 | 2016-09-30 | 2016-11-14 | |
| BARCLAYS BK PLC CUSIP 06740L451 | 10 YR TREAS BEAR | 648 | $8,000 | 2016-09-30 | 2016-11-14 | |
| CYPRESS ENERGY PARTNERS LP CUSIP 232751107 | LTD PARTNER INT | 500 | $5,000 | 2016-09-30 | 2016-11-14 | |
| * SEADRILL PARTNERS LLC CUSIP Y7545W109 | COMUNIT REP LB | 1,400 | $5,000 | 2016-09-30 | 2016-11-14 | |
| BARCLAYS BK PLC CUSIP 06740C337 | S&P 500 VEQTOR | 28 | $4,000 | 2016-09-30 | 2016-11-14 | |
| * TEEKAY OFFSHORE PARTNERS L P CUSIP Y8565J101 | PARTNERSHIP UN | 688 | $4,000 | 2016-09-30 | 2016-11-14 | |
| SWEDISH EXPT CR CORP CUSIP 870297405 | RG METAL ETN22 | 450 | $4,000 | 2016-09-30 | 2016-11-14 | |
| MORGAN STANLEY TRUSTS CUSIP 61745P874 | INCOME SECS INC | 174 | $3,000 | 2016-09-30 | 2016-11-14 | |
| * BARCLAYS BANK PLC CUSIP 06739H206 | ETN DJUBS AGRI37 | 80 | $3,000 | 2016-09-30 | 2016-11-14 | |
| BARCLAYS BK PLC CUSIP 06740L444 | 30 YR TREAS BEAR | 220 | $3,000 | 2016-09-30 | 2016-11-14 | |
| CREDIT SUISSE AG NASSAU BRH CUSIP 22539T316 | VEL SH 3X LG CRD | 116 | $3,000 | 2016-09-30 | 2016-11-14 | |
| NUVASIVE INC CUSIP 670704AC9 | NOTE 2.750% 7/0 | 2,000 | $3,000 | 2016-09-30 | 2016-11-14 | |
| BARCLAYS BANK PLC CUSIP 06739H255 | ETN DJUBSPLATM38 | 90 | $2,000 | 2016-09-30 | 2016-11-14 | |
| CREDIT SUISSE AG NASSAU BRH CUSIP 22539T274 | NT LKD 30 | 28 | $1,000 | 2016-09-30 | 2016-11-14 | |
| UBS AG JERSEY BRH CUSIP 902641679 | DJ COMMD ETN39 | 60 | $1,000 | 2016-09-30 | 2016-11-14 | |
| * WESTERN GAS EQUITY PARTNERS CUSIP 95825R103 | COMUNT LTD PT | 25 | $1,000 | 2016-09-30 | 2016-11-14 |
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