LADENBURG THALMANN FINANCIAL SERVICES INC. current holdings: USA Funds
LADENBURG THALMANN FINANCIAL SERVICES INC. reported $0.12 billion in funds and trusts that are not on this site's ETF list (sponsor series, commodity pools, money market) (listed in the US), 214 positions, in its Form 13F for the quarter ended 2016-09-30; the largest are * HEALTHCARE TR AMER INC, CLAYMORE EXCHANGE TRD FD TR, * FS INVT CORP.
- * HEALTHCARE TR AMER INC: Country of operation —; Class CL A NEW; Shares 372,087; Value $12,137,000.
- CLAYMORE EXCHANGE TRD FD TR: Country of operation —; Class GUGG ENH SHT DUR; Shares 218,488; Value $10,968,000.
- * FS INVT CORP: Country of operation —; Class COM; Shares 889,332; Value $8,421,000.
- NUVEEN SR INCOME FD: Country of operation —; Class COM; Shares 650,397; Value $4,253,000.
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 |
|---|---|---|---|---|---|---|
| * HEALTHCARE TR AMER INC CUSIP 42225P501 | CL A NEW | 372,087 | $12,137,000 | 2016-09-30 | 2016-11-14 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M654 | GUGG ENH SHT DUR | 218,488 | $10,968,000 | 2016-09-30 | 2016-11-14 | |
| * FS INVT CORP CUSIP 302635107 | COM | 889,332 | $8,421,000 | 2016-09-30 | 2016-11-14 | |
| NUVEEN SR INCOME FD CUSIP 67067Y104 | COM | 650,397 | $4,253,000 | 2016-09-30 | 2016-11-14 | |
| * MONOGRAM RESIDENTIAL TR INC CUSIP 60979P105 | COM | 341,517 | $3,634,000 | 2016-09-30 | 2016-11-14 | |
| * COLUMBIA PPTY TR INC CUSIP 198287203 | COM NEW | 158,530 | $3,549,000 | 2016-09-30 | 2016-11-14 | |
| * UNITED STATES OIL FUND LP CUSIP 91232N108 | UNITS | 316,394 | $3,459,000 | 2016-09-30 | 2016-11-14 | |
| * FQF TR CUSIP 351680855 | OSHARS FTSE US | 99,886 | $2,738,000 | 2016-09-30 | 2016-11-14 | |
| * POWERSHARES DB CMDTY IDX TRA CUSIP 73935S105 | UNIT BEN INT | 164,693 | $2,468,000 | 2016-09-30 | 2016-11-14 | |
| NUVEEN CA DIV ADVANTG MUN FD CUSIP 67069X104 | COM | 149,838 | $2,465,000 | 2016-09-30 | 2016-11-14 | |
| * POWERSHS DB MULTI SECT COMM CUSIP 73936B408 | PS DB AGRICUL FD | 122,914 | $2,461,000 | 2016-09-30 | 2016-11-14 | |
| * GRAMERCY PPTY TR CUSIP 385002100 | COM | 247,619 | $2,380,000 | 2016-09-30 | 2016-11-14 | |
| ALLIANZGI CONV & INCOME FD I CUSIP 018825109 | COM | 372,847 | $2,211,000 | 2016-09-30 | 2016-11-14 | |
| * FOREST CITY RLTY TR INC CUSIP 345605109 | COM CL A | 78,319 | $1,811,000 | 2016-09-30 | 2016-11-14 | |
| PIMCO INCOME OPPORTUNITY FD CUSIP 72202B100 | COM | 73,749 | $1,708,000 | 2016-09-30 | 2016-11-14 | |
| APOLLO TACTICAL INCOME FD IN CUSIP 037638103 | United States | COM | 106,588 | $1,648,000 | 2016-09-30 | 2016-11-14 |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M530 | GUG BULL2018 E | 65,933 | $1,405,000 | 2016-09-30 | 2016-11-14 | |
| CENTRAL FD CDA LTD CUSIP 153501101 | CL A | 100,757 | $1,395,000 | 2016-09-30 | 2016-11-14 | |
| * GOVERNMENT PPTYS INCOME TR CUSIP 38376A103 | COM SHS BEN INT | 58,158 | $1,315,000 | 2016-09-30 | 2016-11-14 | |
| POWERSHARES ACT MANG COMM FD CUSIP 73937V106 | DB OPT YLD DIV | 73,150 | $1,276,000 | 2016-09-30 | 2016-11-14 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M522 | GUG BULL2019 E | 58,855 | $1,260,000 | 2016-09-30 | 2016-11-14 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M548 | GUGG CRP BD 2017 | 54,823 | $1,243,000 | 2016-09-30 | 2016-11-14 | |
| PIMCO MUNICIPAL INCOME FD CUSIP 72200R107 | United States | COM | 73,809 | $1,239,000 | 2016-09-30 | 2016-11-14 |
| NUVEEN SHT DUR CR OPP FD CUSIP 67074X107 | COM | 73,094 | $1,230,000 | 2016-09-30 | 2016-11-14 | |
| EATON VANCE FLTG RATE INCOM CUSIP 278284104 | COM SHS BEN INT | 77,446 | $1,211,000 | 2016-09-30 | 2016-11-14 | |
| * CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M506 | GUG MULTI ASSET | 62,098 | $1,204,000 | 2016-09-30 | 2016-11-14 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M555 | GUGG CRP BD 2016 | 54,084 | $1,193,000 | 2016-09-30 | 2016-11-14 | |
| BLACKROCK ENHANCED GOVT FD I CUSIP 09255K108 | United States | COM | 84,994 | $1,170,000 | 2016-09-30 | 2016-11-14 |
| * TWO HBRS INVT CORP CUSIP 90187B101 | COM | 126,902 | $1,080,000 | 2016-09-30 | 2016-11-14 | |
| * SELECT INCOME REIT CUSIP 81618T100 | COM SH BEN INT | 38,942 | $1,047,000 | 2016-09-30 | 2016-11-14 | |
| BROOKFIELD TOTAL RETURN FD I CUSIP 11283U108 | COM | 41,348 | $927,000 | 2016-09-30 | 2016-11-14 | |
| * SENIOR HSG PPTYS TR CUSIP 81721M109 | SH BEN INT | 40,065 | $908,000 | 2016-09-30 | 2016-11-14 | |
| FQF TR CUSIP 351680848 | O SHS FTSE EUR | 36,417 | $844,000 | 2016-09-30 | 2016-11-14 | |
| * CORENERGY INFRASTRUCTURE TR CUSIP 21870U502 | COM NEW | 28,502 | $836,000 | 2016-09-30 | 2016-11-14 | |
| * CHIMERA INVT CORP CUSIP 16934Q208 | United States | COM NEW | 48,817 | $778,000 | 2016-09-30 | 2016-11-14 |
| TORTOISE MLP FD INC CUSIP 89148B101 | COM | 36,435 | $728,000 | 2016-09-30 | 2016-11-14 | |
| * NEW SR INVT GROUP INC CUSIP 648691103 | COM | 61,711 | $713,000 | 2016-09-30 | 2016-11-14 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M399 | GUG BLT2017 HY | 27,377 | $710,000 | 2016-09-30 | 2016-11-14 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M514 | GUG BULL2020 E | 32,462 | $705,000 | 2016-09-30 | 2016-11-14 | |
| * ETFS GOLD TR CUSIP 26922Y105 | SHS | 5,455 | $700,000 | 2016-09-30 | 2016-11-14 | |
| * NEW YORK MTG TR INC CUSIP 649604501 | COM PAR $.02 | 116,049 | $698,000 | 2016-09-30 | 2016-11-14 | |
| * FEDERAL REALTY INVT TR CUSIP 313747206 | SH BEN INT NEW | 4,284 | $659,000 | 2016-09-30 | 2016-11-14 | |
| MACQUARIE FT TR GB INF UT DI CUSIP 55607W100 | United States | COM | 51,711 | $651,000 | 2016-09-30 | 2016-11-14 |
| EATON VANCE TAX-ADV BD & OPT CUSIP 27829M103 | COM SH BEN INT | 52,451 | $631,000 | 2016-09-30 | 2016-11-14 | |
| CORENERGY INFRASTRUCTURE TR CUSIP 21870U304 | United States | DEP SHS REPSTG | 23,920 | $592,000 | 2016-09-30 | 2016-11-14 |
| TEMPLETON GLOBAL INCOME FD CUSIP 880198106 | United States | COM | 94,010 | $587,000 | 2016-09-30 | 2016-11-14 |
| NUVEEN FLTNG RTE INCM OPP FD CUSIP 6706EN100 | COM SHS | 51,011 | $564,000 | 2016-09-30 | 2016-11-14 | |
| BLACKROCK MUNICIPAL BOND TR CUSIP 09249H104 | COM | 31,079 | $557,000 | 2016-09-30 | 2016-11-14 | |
| * CYS INVTS INC CUSIP 12673A108 | COM | 62,911 | $547,000 | 2016-09-30 | 2016-11-14 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M381 | GUG BLT2018 HY | 21,459 | $543,000 | 2016-09-30 | 2016-11-14 | |
| * CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M878 | GUGGEN DEFN EQTY | 13,813 | $539,000 | 2016-09-30 | 2016-11-14 | |
| FLEXSHARES TR CUSIP 33939L712 | CUR HDG EM IDX | 20,502 | $530,000 | 2016-09-30 | 2016-11-14 | |
| VICTORY PORTFOLIOS II CUSIP 92647N816 | CEMP DEVELOPED E | 15,942 | $476,000 | 2016-09-30 | 2016-11-14 | |
| * CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M605 | GUGG S&P SPINOFF | 10,487 | $450,000 | 2016-09-30 | 2016-11-14 | |
| PIMCO CALIF MUN INCOME FD II CUSIP 72200M108 | United States | COM | 41,518 | $444,000 | 2016-09-30 | 2016-11-14 |
| * FIVE OAKS INVT CORP CUSIP 33830W106 | COM | 77,395 | $440,000 | 2016-09-30 | 2016-11-14 | |
| VICTORY PORTFOLIOS II CUSIP 92647N774 | CEMP US DISCOVER | 11,496 | $411,000 | 2016-09-30 | 2016-11-14 | |
| * HOSPITALITY PPTYS TR CUSIP 44106M102 | COM SH BEN INT | 13,704 | $406,000 | 2016-09-30 | 2016-11-14 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M415 | GUG BLT2016 HY | 15,160 | $391,000 | 2016-09-30 | 2016-11-14 | |
| BLACKROCK N Y MUN INCOME TR CUSIP 09248L106 | United States | SH BEN INT | 23,692 | $380,000 | 2016-09-30 | 2016-11-14 |
| PIMCO MUN INCOME FD III CUSIP 72201A103 | United States | COM | 27,910 | $358,000 | 2016-09-30 | 2016-11-14 |
| * HEALTHCARE RLTY TR CUSIP 421946104 | COM | 10,482 | $357,000 | 2016-09-30 | 2016-11-14 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M720 | GUG MIDCAP CORE | 6,082 | $324,000 | 2016-09-30 | 2016-11-14 | |
| * OHA INVT CORP CUSIP 67091U102 | COM | 100,154 | $314,000 | 2016-09-30 | 2016-11-14 | |
| CUSHING RENAISSANCE FD CUSIP 231647108 | COM | 18,888 | $312,000 | 2016-09-30 | 2016-11-14 | |
| * ARLINGTON ASSET INVT CORP CUSIP 041356205 | CL A NEW | 20,994 | $310,000 | 2016-09-30 | 2016-11-14 | |
| * APOLLO INVT CORP CUSIP 03761U106 | COM | 49,745 | $289,000 | 2016-09-30 | 2016-11-14 | |
| NUVEEN CA DIV ADV MUNI FD 3 CUSIP 67070Y109 | COM SH BEN INT | 18,458 | $284,000 | 2016-09-30 | 2016-11-14 | |
| ADVISORSHARES TR CUSIP 00768Y594 | PAC EN FLTG RT | 5,574 | $276,000 | 2016-09-30 | 2016-11-14 | |
| ALLIANZGI CONV & INCOME FD CUSIP 018828103 | COM | 39,816 | $269,000 | 2016-09-30 | 2016-11-14 | |
| BLACKROCK MUNI INTER DR FD I CUSIP 09253X102 | United States | COM | 17,556 | $269,000 | 2016-09-30 | 2016-11-14 |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M373 | GUG BUL 2019 HY | 10,931 | $266,000 | 2016-09-30 | 2016-11-14 | |
| * PHYSICIANS RLTY TR CUSIP 71943U104 | United States | COM | 11,819 | $253,000 | 2016-09-30 | 2016-11-14 |
| * LASALLE HOTEL PPTYS CUSIP 517942108 | COM SH BEN INT | 9,200 | $251,000 | 2016-09-30 | 2016-11-14 | |
| PIMCO CALIF MUN INCOME FD II CUSIP 72201C109 | United States | COM | 19,150 | $246,000 | 2016-09-30 | 2016-11-14 |
| BLACKROCK NY MUN INCOME TR I CUSIP 09249R102 | COM | 14,181 | $243,000 | 2016-09-30 | 2016-11-14 | |
| HIGHLAND FDS I CUSIP 430101774 | HI LD IBOXX SRLN | 12,973 | $242,000 | 2016-09-30 | 2016-11-14 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383Q606 | GUGG CA ENRG INC | 27,283 | $240,000 | 2016-09-30 | 2016-11-14 | |
| NUVEEN SELECT TAX FREE INCM CUSIP 67063C106 | SH BEN INT | 16,501 | $240,000 | 2016-09-30 | 2016-11-14 | |
| VOYA PRIME RATE TR CUSIP 92913A100 | SH BEN INT | 44,177 | $234,000 | 2016-09-30 | 2016-11-14 | |
| * CLAYMORE EXCHANGE TRD FD TR CUSIP 18383Q739 | GUGGENHEIM SOLAR | 11,362 | $231,000 | 2016-09-30 | 2016-11-14 | |
| * CLAYMORE EXCHANGE TRD FD TR CUSIP 18383Q507 | GUGG S&P GBL WTR | 7,440 | $229,000 | 2016-09-30 | 2016-11-14 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M266 | GUGG BULSH 2021 | 10,348 | $223,000 | 2016-09-30 | 2016-11-14 | |
| * INVESTORS REAL ESTATE TR CUSIP 461730103 | SH BEN INT | 36,982 | $220,000 | 2016-09-30 | 2016-11-14 | |
| ACADEMY FDS TR CUSIP 004006508 | INNOV IBD50 FD | 9,000 | $212,000 | 2016-09-30 | 2016-11-14 | |
| * LIBERTY PPTY TR CUSIP 531172104 | SH BEN INT | 5,072 | $205,000 | 2016-09-30 | 2016-11-14 | |
| * SILVER BAY RLTY TR CORP CUSIP 82735Q102 | COM | 11,620 | $204,000 | 2016-09-30 | 2016-11-14 | |
| NUVEEN HGH INC DEC18 TRGT TR CUSIP 67075P103 | COM | 19,488 | $203,000 | 2016-09-30 | 2016-11-14 | |
| BLACKROCK INCOME TR INC CUSIP 09247F100 | COM | 31,061 | $201,000 | 2016-09-30 | 2016-11-14 | |
| * ETFS SILVER TR CUSIP 26922X107 | SILVER SHS | 10,554 | $199,000 | 2016-09-30 | 2016-11-14 | |
| WESTERN ASSET MUN DEF OPP TR CUSIP 95768A109 | COM | 8,047 | $199,000 | 2016-09-30 | 2016-11-14 | |
| * APARTMENT INVT & MGMT CO CUSIP 03748R101 | CL A | 4,398 | $197,000 | 2016-09-30 | 2016-11-14 | |
| * ADVISORSHARES TR CUSIP 00768Y503 | PERITUS HG YLD | 5,313 | $186,000 | 2016-09-30 | 2016-11-14 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M225 | 2021 HG YLD CB | 7,238 | $180,000 | 2016-09-30 | 2016-11-14 | |
| CLEARBRIDGE ENERGY MLP FD IN CUSIP 184692101 | COM | 10,929 | $177,000 | 2016-09-30 | 2016-11-14 | |
| ALPINE TOTAL DYNAMIC DIVID F CUSIP 021060207 | COM SH BEN INT N | 23,130 | $176,000 | 2016-09-30 | 2016-11-14 | |
| DEUTSCHE STRATEGIC INCOME TR CUSIP 25160F109 | SHS | 14,007 | $169,000 | 2016-09-30 | 2016-11-14 | |
| INVESCO DYNAMIC CR OPP FD CUSIP 46132R104 | COM | 14,271 | $168,000 | 2016-09-30 | 2016-11-14 | |
| * UNITED STATES NATL GAS FUND CUSIP 912318201 | UNIT PAR $0.001 | 19,499 | $162,000 | 2016-09-30 | 2016-11-14 | |
| NUVEEN SELECT TAX FREE INCM CUSIP 67063X100 | SH BEN INT | 10,415 | $161,000 | 2016-09-30 | 2016-11-14 |
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