D RIVING F INANCIAL G ROWTH S INCE 1876 TM

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1 FINANCIAL SERVICES D RIVING F INANCIAL G ROWTH S INCE 1876 TM Idepedet Brokerage & Advisory Services Asset Maagemet Ivestmet Bakig Equity Research Istitutioal Sales & Tradig

2 YOUR PARTNER for FINANCIAL G ROWTH OUR UNIQUE ADVANTAGE Etrepreeurial Midset Our heritage is deeply rooted i our pioeerig spirit helpig our cliets fid iovative solutios to preservig wealth ad maximizig opportuities for growth. This etrepreeurial spirit cotiues to be at the core of our people, culture ad actios. Uparalleled Cliet Service Our cliets value our uique ability to help them idetify ad pursue their fiacial goals. We pride ourselves o deliverig uparalleled quality service with a hadso approach ad tailored solutios.

3 L ADENBURG T HALMANN D RIVING F INANCIAL G ROWTH S INCE 1876 We believe that this dyamic, competitive, ad costatly chagig marketplace provides a world of opportuities for iformed ivestors. We uderstad the eed for ivestmet strategies that balace growth opportuities with risk maagemet. Through its operatig subsidiaries, Ladeburg Thalma Fiacial Services Ic. offers solutios for busiess or persoal portfolios. We ca provide the professioal guidace to make the most of your fiacial potetial. Drawig o our uique advatages we have the ability to quickly adapt to each situatio to deliver tailored ivestmet solutios with persoalized attetio that helps tur potetial ito growth. Nimble ad Resourceful Approach Our team has built log-term relatioships through idividualized attetio to our cliets fiacial eeds. To do so, we leverage the resourcefuless of our people, allowig us to quickly adapt, respod ad deliver for our cliets. Idustry Expertise Our people have the itellectual capital ad subject matter expertise to help cliets achieve their goals. We take a kowledge-based approach to servig our markets ad have a laser-like focus o each of our idustry sectors. 1

4 S ECURING W EALTH through C USTOMIZED S OLUTIONS Ladeburg Thalma Fiacial Services Ic. is a full service fiacial compay committed to meetig the diverse ad chagig eeds of our cliets by providig a full array of iovative, customized fiacial solutios. We have built a strog reputatio for parterig with dyamic compaies ad helpig them achieve growth with purposeful ivestmet strategies ad thoughtful guidace. OUR BUSINESSES INCLUDE: Idepedet Brokerage & Advisory Services Ladeburg Thalma Asset Maagemet Ic. Ladeburg Thalma & Co. Ic. Ivestmet Bakig Equity Research Istitutioal Sales & Tradig Private Cliet Services

5 Idepedet Brokerage & Advisory Services TAILORED S TRATEGIES FOR U NIQUE N EEDS Ladeburg Thalma s Idepedet Brokerage & Advisory Services subsidiaries provide support services to our growig etwork of idepedet advisors throughout the Uited States. These advisors are experieced professioals affiliated with oe of Ladeburg Thalma s wholly owed broker-dealers or ivestmet advisory firms. Our primary goal is to help these affiliates build their busiesses i a successful ad sustaiable maer. Servig the diverse fiacial eeds of idividuals, families ad corporatios is what we do best. Our advisors ad fiacial plaers believe i the importace of buildig log-term cliet relatioships where ope commuicatio is paramout. We are committed to providig soud advice, appropriate solutios ad the highest level of customer service. I today s fast paced world, ivestors eed the support of experieced ivestmet professioals who have access to kowledgeable specialists ad a broad rage of resources. Our fiacial advisors are able to leverage Ladeburg s expertise i research, techology, ad access to best-iclass ivestmet solutios, while maitaiig their focus o each cliet s fiacial objectives. Our core services iclude: Wealth Maagemet Retiremet Services Advisory ad Fee-Based Services Fiacial ad Estate Plaig Services Securities Brokerage ad Maagemet Isurace Solutios Iitial Public Offerigs Research-Based Recommedatios Alterative Ivestmets The Value of Fiacial Plaig We employ a eeds-based approach to help cliets grow ad preserve their assets by offerig purposeful ivestmet strategies, iovative solutios ad thoughtful guidace. Our idepedet fiacial professioals address each of their cliet s specific eeds by takig ito accout their complete fiacial picture. We cover all areas of fiacial plaig for idividual ivestors, such as college savigs, estate plaig ad geeratioal trasfers, busiess successio, retiremet plas, ad tax plaig. To do so, our fiacial professioals evaluate each cliet s ivestmet eeds to help them set their goals ad implemet a fiacial pla that puts them o a path toward stability ad success. The safety ad security of cliets assets remai our priority. 3

6 L ADENBURG T HALMANN A SSET M ANAGEMENT I NC. Asset Maagemet I NVESTMENT S OLUTIONS FOR F INANCIAL S UCCESS Ladeburg Thalma Asset Maagemet Ic. believes that plaig for fiacial success icludes applyig core ivestmet priciples portfolio diversificatio, risk maagemet ad disciplied log-term ivestig. Our team takes a disciplied approach to ivestig, usig a rigorous research process to fid the highestquality ivestmets to meet cliets eeds. Our maagers use sophisticated diversificatio ad asset allocatio strategies to help cliets pla for log term ivestmet success. Havig the right solutios available at the right time is essetial to achievig fiacial success. We provide comprehesive asset maagemet products ad services to help cliets protect wealth ad capitalize o growth opportuities to meet their fiacial goals at every stage. Whether the goal is to meet accumulatio objectives, pla for trasitios or retiremet, or fid wealth trasfer optios to secure assets, we offer solutios that ca meet ay persoal or busiess goals. Our Ivestmet Process We take a disciplied approach to ivestig: Assess We start by uderstadig our cliet s uique objectives, tolerace for risk ad ivestmet time horizo. Maage We offer tailored solutios, with ivestmets carefully maaged by our asset maagemet experts. Moitor We actively rebalace the cliet s portfolio to esure it stays o track ad adjust it as ecessary to alig the strategy with evolvig goals. Our ivestmet solutios iclude: Asset Allocatio Strategies Private Ivestmet Maagemet Wealth Plaig Retiremet Solutios Separate Accout Maagemet Alterative Ivestmets 4

7 L ADENBURG T HALMANN & CO. INC. Ivestmet Bakig PARTNERS FOR F INANCIAL S UCCESS To thrive i today s marketplace, eterprises eed smart ivestmet bakig solutios that ca help them grow. As a preemiet middle market ivestmet bak, Ladeburg Thalma & Co. Ic. uderstads the challeges compaies ad istitutios face whe buildig their busiesses. We have assembled a experieced team of ivestmet bakig experts that is committed to helpig cliets capitalize o their fiacial potetial. Realizig Opportuity Our etrepreeurial midset helps us uderstad the obstacles cliets face ad ucover opportuities to help them succeed. At Ladeburg Thalma & Co. Ic., we have the ability to seamlessly coect middle market compaies with the right ivestors through our etwork of resources, strategic parterships, ad idustry relatioships. Kowledge-Based Value Our seasoed professioals possess a diverse rage of idustry expertise, qualificatios ad experiece that allow us to take a complete approach to address ad fulfill cliet eeds. Our commitmet to our cliets is based o a uderstadig of their objectives ad the delivery of uparalleled level of kowledge to each situatio. Ladeburg Thalma & Co. Ic. Bakig Expertise Capital Markets Fiacial Advisory Value-Added Services Capital Markets IPOs Follow-O Offerigs Mergers ad Acquisitios LBOs ad MBOs Road Shows Market Itelligece PIPE Offerigs Goig Private Trasactios Strategic Alliaces Private Placemets Divestitures Proxy Defese Fiacial Advisory Value-Added Services Debt Placemets Registered Directs SPAC Offerigs Restructurig Fairess ad Solvecy Opiios Valuatios Research 5

8 L ADENBURG T HALMANN & CO. INC. Equity Research U NCOVERING H IDDEN O PPORTUNITIES Some of the greatest opportuities are hidde i plai sight. Ladeburg Thalma & Co. Ic. s experieced ad well-respected Research team is kow for our ability to provide proprietary, actioable research that helps cliets capitalize o iefficiecies i the markets. We offer itegritybased, objective ad kowledge-drive equity research coverage ad i-depth aalysis of a broad rage of markets, icludig a special focus o emergig growth sectors. Our access ad coectios to maagemet teams allow us to develop a deep uderstadig of the compaies we cover. Our istitutioal quality research provides our cliets ad parters with value-added isights that eables their decisio-makig process, iforms their strategies ad allows them to address critical market issues o behalf of their busiesses. We have expaded our team of idustry experts ad ifluecers through Puk Ziegel Health Care, a specialty group of Ladeburg Thalma. Puk Ziegel is a idustry leader i Health Care research, providig coverage of the Health Care techology, biotechology ad life scieces idustries. We cotiue to expad our growig team ad capabilities to esure the highest quality research i the idustry. While Equity Research teams cover umerous idustries, some of our sector specialties iclude: Eergy Fiacial Services Techology Health Care Sector Specialties Idustrial Maufacturig ad Water Power ad Utilities Special Situatios 6

9 L ADENBURG T HALMANN & CO. INC. Istitutioal Sales & Tradig O PPORTUNITIES TO C APITALIZE We believe i the power of partership to help cliets discover the right deals at the right time. Ladeburg Thalma & Co. Ic. s Istitutioal Sales ad Tradig team is kow for its strog itellectual capital ad expertise i both uder-covered ad highly visible compaies. We have a wealth of experiece ad have built the right relatioship i each of our specialty sectors icludig Health Care, Power ad Utilities, Eergy, ad Fiacial Services. Cliets appreciate our uderstadig of the busiess, the ever-evolvig market eviromet ad our ability to provide compaies with the right iformatio, smart decisios ad superior executio. Ladeburg is a leadig market maker i the sectors we follow, providig icreased liquidity for ivestors ad servig as a active trader of our corporate cliets. Our Sales ad Tradig team has a broad etwork ad skill set creatig parterships ad ucoverig the opportuities betwee corporatios ad ivestors that help them both succeed. We provide trade executio for a broad rage of debt ad equity securities as well as derivative products. Our sales people, traders ad aalysts work i a team-based eviromet to provide accurate, timely executios for thousads of istitutios. To do so, we parter with other top tier Wall Street firms ad icorporate state-of-the-art techology to offer you access to best-iclass services. Executio Capabilities: U.S. Listed Block Trades NASDAQ Market-Makig Optios ETFs Algorithmic Capabilities Access To All Markets 7

10 O UR P ROUD H ERITAGE Ladeburg Thalma & Co. Ic. was established i 1876 ad joied the New York Stock Exchage i It quickly became oe of the most ifluetial private merchat bakig firms, servig as a major fiacial itermediary betwee America, Great Britai ad the Europea Cotiet. Ladeburg Thalma & Co. Ic. was amog the few ivestmet baks to prosper durig the Depressio, ad it played a importat role i fiacig growth of America idustry through the early twetieth cetury. Sice the begiig, it has provided sigificat value as fiacial advisors to ivestors, corporate maagers ad directors while raisig capital for emergig idustries. Today, we remai committed to buildig shareholder value, drivig forward a sustaiable ad growig busiess, ad helpig our cliets achieve fiacial growth with the same deep-rooted passio as our fouders. We believe i the importace of buildig log-term relatioships, itegrity ad the highest level of service, with the primary objective of puttig our cliets iterests first. Our strog traditios ad our visio for the future give us emphasis to our commitmet to achievig outstadig results for our cliets. Dr. Philip Frost, Chairma Ladeburg Thalma Fiacial Services Ic.

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12 FINANCIAL SERVICES Brokerage ad ivestmet services are offered through Ladeburg Thalma & Co. Ic., a member of the NYSE, AMEX, FINRA ad other pricipal exchages ad SIPC; Ladeburg Thalma Asset Maagemet Ic, a registered ivestmet advisor; ad through other subsidiaries of Ladeburg Thalma Fiacial Services Ic. Ladeburg Thalma Fiacial Services Ic. is traded o the AMEX uder the symbol LTS. For specific iformatio regardig the services provided by each etity, please feel free to cotact us Biscaye Blvd, 12th Floor, Miami, FL Telephoe: Toll Free: Fax: