The company has not filed an annual or quarterly report since its FY2019 10-K, filed Mar 13, 2020. Its latest SEC filing is a 10-K/A from Apr 29, 2020.
10-K for FY2019, filed Mar 13, 2020
The sections below describe the company as of the FY2019 annual report.
Provides brokerage and advisory services through independent financial advisors to individual investors, plus investment banking and insurance brokerage services to companies and financial institutions.
10-K for FY2019, filed Mar 13, 2020We are a diversified financial services company engaged in independent advisory and brokerage services, asset management services…View ↗
The appealing growth profile of the independent advisory and brokerage business has been a key factor in setting our strategic path. The…View ↗
Ladenburg is a full service registered broker-dealer that has been a member of the New York Stock Exchange (“NYSE”) since 1879. It provides…View ↗
Highland is a leading independent insurance brokerage firm that delivers life insurance, fixed and equity indexed annuities and long-term…View ↗
Securities America, Triad, SSN, Investacorp and KMS are independent broker-dealers and registered investment advisors, whose independent…View ↗
$1.5B
10-K for FY2019, filed Mar 14, 2020
$1.5B ↗
Independent financial advisors offer brokerage and advisory products and services to individual clients; the company also serves middle-market and emerging-growth companies, high-net-worth individuals, institutional investors, and insurance and investment providers.
10-K for FY2019, filed Mar 13, 2020The appealing growth profile of the independent advisory and brokerage business has been a key factor in setting our strategic path. The…View ↗
Ladenburg is a full service registered broker-dealer that has been a member of the New York Stock Exchange (“NYSE”) since 1879. It provides…View ↗
Highland is a leading independent insurance brokerage firm that delivers life insurance, fixed and equity indexed annuities and long-term…View ↗
Securities America, Triad, SSN, Investacorp and KMS are independent broker-dealers and registered investment advisors, whose independent…View ↗
We have established a broad institutional client base through a consistent focus on the investment and trading objectives of our clients.…View ↗
Yes. It kept 2 cents of every revenue dollar as net income in FY2019 and turned 3 cents into free cash flow.
10-K for FY2019, filed Mar 14, 2020
10-K for FY2019, filed Mar 14, 2020
$30.7MView ↗
10-K for FY2019, filed Mar 14, 2020
$22.8MView ↗
10-K for FY2019, filed Mar 14, 2020
$41MView ↗
Grew. Revenue grew 28% in 4 years, from $1.2B in FY2015 to $1.5B in FY2019, about 6% a year.
Broader advisory offerings
The latest report describes independent advisors offering advisor-managed accounts, securities, options, mutual funds, and annuities, and says most segment revenue comes from advisory fees rather than commissions. The older report described securities brokerage and advisory services and emphasized packaged products and growing fee-based services.
10-K for FY2016, filed Mar 16, 2017 10-K for FY2019, filed Mar 13, 2020
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