LADENBURG THALMANN FINANCIAL SERVICES INC. current holdings: Foreign Stocks
LADENBURG THALMANN FINANCIAL SERVICES INC. reported $0.06 billion in share positions in stocks (depositary receipts and foreign shares traded over the counter), 116 positions, in its Form 13F for the quarter ended 2016-09-30; the largest are BP, NVS, ULXXXX.
- BP: Country of operation —; Class SPONSORED ADR; Shares 457,471; Value $16,087,000.
- NVS: Country of operation —; Class SPONSORED ADR; Shares 71,640; Value $5,657,000.
- ULXXXX: Country of operation —; Class SPON ADR NEW; Shares 96,146; Value $4,557,000.
- DEO: Country of operation —; Class SPON ADR NEW; Shares 34,797; Value $4,036,000.
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.
Performance is each holding's price change from its close on the 2016-09-30 quarter end to its latest retained close (2026-09-29, or the date shown for a stock that stopped trading). Price only; dividends are not included. A stock that split in the period is restated by the split ratio in its own Form 8-K; a dash marks a holding with no retained closes.
| Stock | Country of operation | Class | Shares | Value | % of listed | Quarter end | Filed | Performance |
|---|---|---|---|---|---|---|---|---|
| BP * BP PLC | SPONSORED ADR | 457,471 | $16,087,000 | 0.67% | 2016-09-30 | 2016-11-14 | +23.78% | |
| NVS * NOVARTIS A G | SPONSORED ADR | 71,640 | $5,657,000 | 0.24% | 2016-09-30 | 2016-11-14 | +105.95% | |
| ULXXXX * UNILEVER PLC | SPON ADR NEW | 96,146 | $4,557,000 | 0.19% | 2016-09-30 | 2016-11-14 | ||
| DEO * DIAGEO P L C | SPON ADR NEW | 34,797 | $4,036,000 | 0.17% | 2016-09-30 | 2016-11-14 | -26.46% | |
| TM * TOYOTA MOTOR CORP | SP ADR REP2COM | 23,774 | $2,759,000 | 0.11% | 2016-09-30 | 2016-11-14 | +60.87% | |
| VOD * VODAFONE GROUP PLC NEW | SPNSR ADR | 92,132 | $2,686,000 | 0.11% | 2016-09-30 | 2016-11-14 | -43.98% | |
| BUD * ANHEUSER BUSCH INBEV SA/NV | SPONSORED ADR | 17,984 | $2,359,000 | 0.10% | 2016-09-30 | 2016-11-14 | -43.47% | |
| ABBNY * ABB LTD | Switzerland | SPONSORED ADR | 75,706 | $1,705,000 | 0.07% | 2016-09-30 | 2016-11-14 | +349.54% |
| TEVA * TEVA PHARMACEUTICAL INDS LTD | ADR | 35,070 | $1,612,000 | 0.07% | 2016-09-30 | 2016-11-14 | -13.48% | |
| BTI * BRITISH AMERN TOB PLC | SPONSORED ADR | 12,645 | $1,610,000 | 0.07% | 2016-09-30 | 2016-11-14 | -14.07% | |
| SNY * SANOFI | SPONSORED ADR | 32,702 | $1,251,000 | 0.05% | 2016-09-30 | 2016-11-14 | +6.68% | |
| NVO * NOVO-NORDISK A S | ADR | 27,982 | $1,163,000 | 0.05% | 2016-09-30 | 2016-11-14 | +84.18% | |
| BVN * COMPANIA DE MINAS BUENAVENTU | SPONSORED ADR | 65,330 | $904,000 | 0.04% | 2016-09-30 | 2016-11-14 | +131.14% | |
| BIDU * BAIDU INC | SPON ADR REP A | 4,767 | $869,000 | 0.04% | 2016-09-30 | 2016-11-14 | -52.38% | |
| BHP * BHP BILLITON LTD | SPONSORED ADR | 21,667 | $751,000 | 0.03% | 2016-09-30 | 2016-11-14 | +174.41% | |
| TSM * TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADR | 15,816 | $484,000 | 0.02% | 2016-09-30 | 2016-11-14 | +1393.76% | |
| HSBC * HSBC HLDGS PLC | SPON ADR NEW | 12,010 | $451,000 | 0.02% | 2016-09-30 | 2016-11-14 | +167.80% | |
| GFI * GOLD FIELDS LTD NEW | SPONSORED ADR | 90,551 | $439,000 | 0.02% | 2016-09-30 | 2016-11-14 | +658.35% | |
| ORANY * ORANGE | France | SPONSORED ADR | 23,963 | $371,000 | 0.02% | 2016-09-30 | 2016-11-14 | +0.13% |
| IEP * ICAHN ENTERPRISES LP | United States | DEPOSITARY UNIT | 7,045 | $357,000 | 0.01% | 2016-09-30 | 2016-11-14 | -86.43% |
| SAP * SAP SE | SPON ADR | 3,894 | $355,000 | 0.01% | 2016-09-30 | 2016-11-14 | +130.66% | |
| RIO * RIO TINTO PLC | SPONSORED ADR | 10,098 | $337,000 | 0.01% | 2016-09-30 | 2016-11-14 | +181.92% | |
| BCS * BARCLAYS PLC | ADR | 34,827 | $305,000 | 0.01% | 2016-09-30 | 2016-11-14 | +181.82% | |
| SAN * BANCO SANTANDER SA | ADR | 67,851 | $300,000 | 0.01% | 2016-09-30 | 2016-11-14 | +221.77% | |
| E * ENI S P A | SPONSORED ADR | 9,189 | $266,000 | 0.01% | 2016-09-30 | 2016-11-14 | +89.30% | |
| RYAAY * RYANAIR HLDGS PLC | SPONSORED ADR NE | 3,235 | $243,000 | 0.01% | 2016-09-30 | 2016-11-14 | +84.84% | |
| ERIC * ERICSSON | ADR B SEK 10 | 33,319 | $240,000 | 0.01% | 2016-09-30 | 2016-11-14 | +29.26% | |
| NOK * NOKIA CORP | SPONSORED ADR | 35,616 | $207,000 | 0.01% | 2016-09-30 | 2016-11-14 | +78.93% | |
| PUK * PRUDENTIAL PLC | ADR | 5,313 | $193,000 | 0.01% | 2016-09-30 | 2016-11-14 | -27.17% | |
| ING * ING GROEP N V | SPONSORED ADR | 13,457 | $167,000 | 0.01% | 2016-09-30 | 2016-11-14 | +192.38% | |
| PBR * PETROLEO BRASILEIRO SA PETRO | SPONSORED ADR | 17,387 | $163,000 | 0.01% | 2016-09-30 | 2016-11-14 | +121.33% | |
| TELFY * TELEFONICA S A | Spain | SPONSORED ADR | 15,735 | $159,000 | 0.01% | 2016-09-30 | 2016-11-14 | -61.81% |
| BBVA * BANCO BILBAO VIZCAYA ARGENTA | SPONSORED ADR | 25,425 | $152,000 | 0.01% | 2016-09-30 | 2016-11-14 | +380.54% | |
| ABEV * AMBEV SA | SPONSORED ADR | 25,077 | $152,000 | 0.01% | 2016-09-30 | 2016-11-14 | -52.71% | |
| FMS * FRESENIUS MED CARE AG&CO KGA | SPONSORED ADR | 3,437 | $150,000 | 0.01% | 2016-09-30 | 2016-11-14 | -49.12% | |
| SNN * SMITH & NEPHEW PLC | SPDN ADR NEW | 4,149 | $136,000 | 0.01% | 2016-09-30 | 2016-11-14 | -17.79% | |
| MLCO * MELCO CROWN ENTMT LTD | ADR | 7,534 | $122,000 | 0.01% | 2016-09-30 | 2016-11-14 | -71.69% | |
| SIMO * SILICON MOTION TECHNOLOGY CO | SPONSORED ADR | 2,298 | $119,000 | 0.00% | 2016-09-30 | 2016-11-14 | +433.23% | |
| VALE * VALE S A | ADR | 21,727 | $119,000 | 0.00% | 2016-09-30 | 2016-11-14 | +141.82% | |
| EMBJ * EMBRAER S A | SP ADR REP 4 COM | 6,757 | $117,000 | 0.00% | 2016-09-30 | 2016-11-14 | +345.37% | |
| SMFG * SUMITOMO MITSUI FINL GROUP I | SPONSORED ADR | 16,881 | $114,000 | 0.00% | 2016-09-30 | 2016-11-14 | +285.48% | |
| LYG * LLOYDS BANKING GROUP PLC | SPONSORED ADR | 37,371 | $106,000 | 0.00% | 2016-09-30 | 2016-11-14 | +98.26% | |
| NTTYY * NIPPON TELEG & TEL CORP | Japan | SPONSORED ADR | 1,866 | $85,000 | 0.00% | 2016-09-30 | 2016-11-14 | +18.38% |
| WPP * WPP PLC NEW | ADR | 696 | $82,000 | 0.00% | 2016-09-30 | 2016-11-14 | -78.54% | |
| RELX RELX PLC | SPONSORED ADR | 4,287 | $82,000 | 0.00% | 2016-09-30 | 2016-11-14 | +73.49% | |
| CUK * CARNIVAL PLC | ADR | 1,657 | $81,000 | 0.00% | 2016-09-30 | 2016-11-14 | ||
| SSL * SASOL LTD | SPONSORED ADR | 2,662 | $72,000 | 0.00% | 2016-09-30 | 2016-11-14 | — split 2020-03-09, ratio not on file | |
| JD * JD COM INC | SPON ADR CL A | 2,605 | $68,000 | 0.00% | 2016-09-30 | 2016-11-14 | +0.80% | |
| SONY * SONY CORP | ADR NEW | 2,068 | $68,000 | 0.00% | 2016-09-30 | 2016-11-14 | +251.85% | |
| CX * CEMEX SAB DE CV | SPON ADR NEW | 8,498 | $67,000 | 0.00% | 2016-09-30 | 2016-11-14 | +26.47% | |
| SQM * SOCIEDAD QUIMICA MINERA DE C | SPON ADR SER B | 2,512 | $67,000 | 0.00% | 2016-09-30 | 2016-11-14 | +145.65% | |
| WB * WEIBO CORP | SPONSORED ADR | 1,331 | $66,000 | 0.00% | 2016-09-30 | 2016-11-14 | -87.20% | |
| BRFS * BRF SA | SPONSORED ADR | 3,812 | $65,000 | 0.00% | 2016-09-30 | 2016-11-14 | ||
| KOF * COCA COLA FEMSA S A B DE C V | SPON ADR REP L | 639 | $48,000 | 0.00% | 2016-09-30 | 2016-11-14 | ||
| NICE * NICE LTD | SPONSORED ADR | 721 | $48,000 | 0.00% | 2016-09-30 | 2016-11-14 | +59.56% | |
| TIAIY TELECOM ITALIA S P A NEW | SPON ADR SVGS | 6,955 | $47,000 | 0.00% | 2016-09-30 | 2016-11-14 | ||
| TV * GRUPO TELEVISA SA | SPON ADR REP ORD | 1,732 | $44,000 | 0.00% | 2016-09-30 | 2016-11-14 | -90.85% | |
| NTES * NETEASE INC | SPONSORED ADR | 179 | $43,000 | 0.00% | 2016-09-30 | 2016-11-14 | +152.95% | |
| KEP * KOREA ELECTRIC PWR | SPONSORED ADR | 1,666 | $41,000 | 0.00% | 2016-09-30 | 2016-11-14 | -54.47% | |
| PKX * POSCO | SPONSORED ADR | 715 | $36,000 | 0.00% | 2016-09-30 | 2016-11-14 | +10.34% | |
| CAJPY * CANON INC | Japan | SPONSORED ADR | 1,212 | $35,000 | 0.00% | 2016-09-30 | 2016-11-14 | +0.76% |
| LNWO * SCIENTIFIC GAMES CORP | United States | CL A | 3,000 | $34,000 | 0.00% | 2016-09-30 | 2016-11-14 | +565.48% |
| SBS * COMPANHIA DE SANEAMENTO BASI | SPONSORED ADR | 3,469 | $33,000 | 0.00% | 2016-09-30 | 2016-11-14 | +180.00% | |
| TS * TENARIS S A | SPONSORED ADR | 1,145 | $33,000 | 0.00% | 2016-09-30 | 2016-11-14 | +93.84% | |
| FMX * FOMENTO ECONOMICO MEXICANO S | SPON ADR UNITS | 344 | $32,000 | 0.00% | 2016-09-30 | 2016-11-14 | +29.95% | |
| HIMX * HIMAX TECHNOLOGIES INC | SPONSORED ADR | 3,371 | $29,000 | 0.00% | 2016-09-30 | 2016-11-14 | +64.14% | |
| MUFG * MITSUBISHI UFJ FINL GROUP IN | SPONSORED ADR | 5,701 | $29,000 | 0.00% | 2016-09-30 | 2016-11-14 | +358.02% | |
| NYMXF * NYMOX PHARMACEUTICAL CORP | Canada | COM | 7,600 | $25,000 | 0.00% | 2016-09-30 | 2016-11-14 | — split 2022-05-23, ratio not on file |
| PBRA * PETROLEO BRASILEIRO SA PETRO | SP ADR NON VTG | 2,874 | $24,000 | 0.00% | 2016-09-30 | 2016-11-14 | ||
| HDB * HDFC BANK LTD | ADR REPS 3 SHS | 335 | $24,000 | 0.00% | 2016-09-30 | 2016-11-14 | +25.99% | |
| YRD * YIRENDAI LTD | SPONSORED ADR | 1,018 | $24,000 | 0.00% | 2016-09-30 | 2016-11-14 | — split 2026-03-19, ratio not on file | |
| SGMOQ * SANGAMO BIOSCIENCES INC | United States | COM | 4,500 | $21,000 | 0.00% | 2016-09-30 | 2016-11-14 | — split 2024-12-31, ratio not on file |
| PVCT PROVECTUS BIOPHARMACEUTICALS | United States | COM | 214,917 | $20,000 | 0.00% | 2016-09-30 | 2016-11-14 | — split 2016-12-06, ratio not on file |
| KYOCY KYOCERA CORP | ADR | 379 | $18,000 | 0.00% | 2016-09-30 | 2016-11-14 | ||
| SID * COMPANHIA SIDERURGICA NACION | SPONSORED ADR | 6,520 | $18,000 | 0.00% | 2016-09-30 | 2016-11-14 | -63.04% | |
| YPF * YPF SOCIEDAD ANONIMA | SPON ADR CL D | 949 | $18,000 | 0.00% | 2016-09-30 | 2016-11-14 | +176.13% | |
| PRKR * PARKERVISION INC | United States | COM NEW | 4,293 | $18,000 | 0.00% | 2016-09-30 | 2016-11-14 | — split 2019-07-17, ratio not on file |
| KT * KT CORP | SPONSORED ADR | 990 | $16,000 | 0.00% | 2016-09-30 | 2016-11-14 | +20.06% | |
| SIM * GRUPO SIMEC S A B DE C V | ADR | 1,550 | $15,000 | 0.00% | 2016-09-30 | 2016-11-14 | +211.56% | |
| IBN * ICICI BK LTD | ADR | 2,019 | $15,000 | 0.00% | 2016-09-30 | 2016-11-14 | +301.33% | |
| GRFS * GRIFOLS S A | SP ADR REP B NVT | 844 | $14,000 | 0.00% | 2016-09-30 | 2016-11-14 | -54.29% | |
| BSAC * BANCO SANTANDER CHILE NEW | SP ADR REP COM | 594 | $12,000 | 0.00% | 2016-09-30 | 2016-11-14 | +62.45% | |
| CRESY * CRESUD S A C I F Y A | SPONSORED ADR | 606 | $11,000 | 0.00% | 2016-09-30 | 2016-11-14 | -26.05% | |
| RDY * DR REDDYS LABS LTD | ADR | 237 | $11,000 | 0.00% | 2016-09-30 | 2016-11-14 | +38.47% | |
| TAL * TAL ED GROUP | ADS REPSTG COM | 160 | $11,000 | 0.00% | 2016-09-30 | 2016-11-14 | — split 2021-07-23, ratio not on file | |
| TLK * P T TELEKOMUNIKASI INDONESIA | SPONSORED ADR | 148 | $10,000 | 0.00% | 2016-09-30 | 2016-11-14 | -60.05% | |
| PAC * GPO AEROPORTUARIO DEL PAC SA | SPON ADR B | 100 | $9,000 | 0.00% | 2016-09-30 | 2016-11-14 | +121.55% | |
| LPL * LG DISPLAY CO LTD | SPONS ADR REP | 708 | $9,000 | 0.00% | 2016-09-30 | 2016-11-14 | -76.57% | |
| MFG * MIZUHO FINL GROUP INC | SPONSORED ADR | 2,815 | $9,000 | 0.00% | 2016-09-30 | 2016-11-14 | +227.38% | |
| VIPS * VIPSHOP HLDGS LTD | SPONSORED ADR | 528 | $9,000 | 0.00% | 2016-09-30 | 2016-11-14 | -15.61% | |
| TKC * TURKCELL ILETISIM HIZMETLERI | SPON ADR NEW | 1,040 | $8,000 | 0.00% | 2016-09-30 | 2016-11-14 | -36.97% | |
| CHT * CHUNGHWA TELECOM CO LTD | SPON ADR NEW11 | 197 | $7,000 | 0.00% | 2016-09-30 | 2016-11-14 | +30.15% | |
| EC * ECOPETROL S A | SPONSORED ADS | 775 | $7,000 | 0.00% | 2016-09-30 | 2016-11-14 | +88.58% | |
| ENIC * ENERSIS CHILE SA | SPON ADR | 1,274 | $6,000 | 0.00% | 2016-09-30 | 2016-11-14 | -10.74% | |
| BMA * BANCO MACRO SA | SPON ADR B | 65 | $5,000 | 0.00% | 2016-09-30 | 2016-11-14 | — split 2019-08-12, ratio not on file | |
| CHKR * CHESAPEAKE GRANITE WASH TR | United States | COM SH BEN INT | 2,200 | $5,000 | 0.00% | 2016-09-30 | 2016-11-14 | |
| JKS * JINKOSOLAR HLDG CO LTD | SPONSORED ADR | 200 | $4,000 | 0.00% | 2016-09-30 | 2016-11-14 | -39.24% | |
| DRD * DRDGOLD LIMITED | SPON ADR REPSTG | 750 | $4,000 | 0.00% | 2016-09-30 | 2016-11-14 | +394.75% | |
| ZNOG * ZION OIL & GAS INC | United States | COM | 2,630 | $4,000 | 0.00% | 2016-09-30 | 2016-11-14 | — split 2018-02-13, ratio not on file |
| INFY * INFOSYS LTD | SPONSORED ADR | 192 | $3,000 | 0.00% | 2016-09-30 | 2016-11-14 | +34.85% |
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| Firm Name | Country | 13F Value | Holdings |
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| Not available yet | |||