Capital Markets

Our equity capital markets (ECM) team acts as an intermediary between market investors and the issuers of equity, as well as existing shareholders in a company who wish to sell a significant stake. The ECM team comments on the feasibility and assists in marketing, execution, and origination of public & private equity, equity linked offerings, and SPAC's. The team collaborates together to decide the equity story and how to message it to to new investors. Through coordination with equity research analysts and potential anchor clients, the ECM team is very strategic when targeting within a sector.

Our syndicate department coordinates the marketing, distribution, and pricing of the firm's managed equity offerings. Our marketing objective is to generate strong demand through broad distribution channels. Ladenburg Thalmann regularly participates in public offerings managed by other leading investment banking firms, and we give investors the opportunity to participate in emerging companies nationwide by maintaining strong relationships with national and regional brokerage firms throughout the United States.

The debt capital markets (DCM) team is responsible for the origination, structuring, and execution of a wide range of debt-related products issued by corporate entities and financial institutions. Our firm has deep relationships with debt asset managers across the capital structure looking for unique opportunities. Ladenburg Thalmann has developed a reputation for supporting our transactions by providing secondary market liquidity. We can provide capital markets clients with broad access to capital through our extensive distribution network of 12,000 financial advisors.

Our Capabilites:

• Public and private placements of senior and subordinated debt
• High-grade and high-yield corporate bonds
• Preferred stock
• Convertible securities
• Structured products

Our Sales & Trading team has a broad network and skill set—creating partnerships and uncovering the opportunities between corporations and investors that help them both succeed. We provide trade execution for a broad range of debt and equity securities as well as derivative products. Our salespeople, traders, and analysts work in a team-based environment to provide accurate, timely executions for thousands of institutions. To do so, we partner with other top-tier Wall Street firms and incorporate state-of-the-art technology to offer access to best-in-class services

Our Capabilities:

• U.S. Listed Block Trades
• Nasdaq Market-Making
• Options
• ETFs
• Algorithmic Capabilities
• Access to All Markets

Our corporate access team works with our Investment Banking, Equity Research, and Capital Market teams to provide our corporate clients with exclusive marketing opportunities to investors throughout North America. We have relationships with hundreds of institutional investors and provide targeted, results-driven corporate access through non-deal road shows, one-day forums, one-on-one meetings, specialized industry events, conference calls and site visits for our corporate clients. We conduct a number of corporate access events every year, and we can design programs that optimize our clients' time and have the most investor impact.