# EDGAR Filing Document

**Accession Number:** 0000350751
**File Stem:** 0001140361-23-001812
**Filing Date:** 2023-1
**Character Count:** 6401
**Document Hash:** 3f0926a0b4bd10b31a22008defda2e21
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001140361-23-001812.hdr.sgml**: 20230123

**ACCESSION NUMBER**: 0001140361-23-001812

**CONFORMED SUBMISSION TYPE**: TA-1/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20230117

**DATE AS OF CHANGE**: 20230123

**EFFECTIVENESS DATE**: 20230127

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Broadridge Corporate Issuer Solutions, LLC
- **CENTRAL INDEX KEY:** 0000350751
- **IRS NUMBER:** 232157194
- **STATE OF INCORPORATION:** PA
- **FISCAL YEAR END:** 0630

**FILING VALUES:**
- **FORM TYPE:** TA-1/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 084-01007
- **FILM NUMBER:** 23543730

**BUSINESS ADDRESS:**
- **STREET 1:** 1717 ARCH STREET
- **STREET 2:** SUITE 1300
- **CITY:** PHILADELPHIA
- **STATE:** PA
- **ZIP:** 19103
- **BUSINESS PHONE:** 215-553-5400

**MAIL ADDRESS:**
- **STREET 1:** 1717 ARCH STREET
- **STREET 2:** SUITE 1300
- **CITY:** PHILADELPHIA
- **STATE:** PA
- **ZIP:** 19103

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** BROADRIDGE CORPORATE ISSUER SOLUTIONS, INC.
- **DATE OF NAME CHANGE:** 20110413

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** STOCKTRANS INC                                          /TA
- **DATE OF NAME CHANGE:** 19810209

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM TA-1

### UNIFORM FORM OF APPLICATION FOR REGISTRATION AS A TRANSFER AGENT

### Registrant Information

**Appropriate regulatory agency:** SEC

**Full name of Registrant:** Broadridge Corporate Issuer Solutions, LLC

**FINS Number:** 404400

**Address of principal office where transfer agent activities are performed:** 51 Mercedes Way, Edgewood, NY, 11717

**Is mailing address different from principal office address?:** No

**Telephone Number:** 631-254-1816

**Does registrant conduct business in other locations?:** Yes

**Other Business Location Address 1:** 2 Gateway Center, 283-299 Market Street, Newark, NJ, 07102

**Other Business Location Address 2:** 110 W Park Drive, Mount Laurel, NJ, 08054

**Other Business Location Address 3:** Survey No 64, Adjacent to Cyber Towers, Hi-Tec City, Madhapur, Hyderabad, K7, 500081

**Other Business Location Address 4:** Divyasree NR Enclave, Plot No-1, EPIP Industrial Area, Whitefield, Bangalore, K7, 560066

**Is registrant a self-transfer agent?:** No

**Does registrant engage a service company to perform any of its transfer agent functions?:** No

**Is registrant engaged as a service company by a named transfer agent?:** Yes

**Service Company Arrangement 1:**

- **Name:** TSX Trust Co

- **File Number:** 084-06506

- **Address:** 100 Adelaide St. West, Suite 301, Toronto, A6, M5H 5S3

**Service Company Arrangement 2:**

- **Name:** Nottingham Shareholder Services LLC

- **File Number:** 084-05687

- **Address:** 116 South Franklin Street, Rocky Mount, NC, 27804

**Service Company Arrangement 3:**

- **Name:** AFLAC INC /GA/ /TA

- **File Number:** 084-00501

- **Address:** 917 Brown Avenue, Columbus, GA, 31906

### Ownership and Control Information

**Registrant Type:** Corporation

**Does any other person control the management or policies of the applicant?:** No

**Does any other person directly or indirectly finance the applicant?:** No

**Control Affiliates Information:**

| Entity Name                          | Relationship Start Date   | Title or Status                   | Ownership Code   | Control Person   |
|:---|:---|:---|:---|:---|
| Broadridge Financial Solutions, Inc. | 03/08/2010                | Owner                             | E                | Yes              |
| Steven Jay Rosenthal                 | 09/28/2012                | Manager and Treasurer             | NA               | Yes              |
| Dorothy Jane Flynn                   | 01/09/2017                | President, BCIS                   | NA               | Yes              |
| Edmund Reese                         | 11/30/2020                | Manager, Vice President, and CFO  | NA               | Yes              |
| Laura Matlin                         | 07/01/2021                | Manager, President, and Secretary | NA               | Yes              |
| Steven Glantz                        | 01/01/2023                | Assistant Secretary               | NA               | Yes              |
| D. Andrew Spathakis                  | 01/01/2023                | Assistant Secretary               | NA               | Yes              |
| Adam Tamas                           | 01/01/2023                | Assistant Secretary               | NA               | Yes              |

### Disciplinary History

- **Convicted/plead guilty to any felony or investment-related misdemeanor?:** No

- **Convicted/plead guilty to any other felony?:** No

- **Enjoined in connection with any investment-related activity?:** No

- **Found to have violated any investment-related statute or regulation?:** No

- **Made a false statement or omission in a filing with the SEC?:** No

- **Found to have violated SRO rules or failed to supervise?:** No

- **Had authorization to act as a financial professional denied, suspended, or revoked?:** No

- **Had a registration as a financial professional denied, suspended, or revoked?:** No

- **Federal/State agency found a false statement or omission?:** No

- **Federal/State agency found a violation of investment-related regulations?:** No

- **Federal/State agency denied, suspended, or revoked authorization?:** No

- **Federal/State agency entered an order against the applicant?:** No

- **Federal/State agency denied, suspended, or revoked registration?:** No

- **Federal/State agency revoked or suspended a license?:** No

- **SRO found a false statement or omission?:** No

- **SRO found a violation of its rules?:** No

- **SRO denied, suspended, or revoked authorization?:** No

- **SRO revoked or suspended a license?:** No

- **Subject of an order or finding by a foreign financial regulatory authority?:** No

- **Currently the subject of any proceeding that could result in a 'yes' answer to any of the above?:** No

- **Had a bond revoked for disorderly conduct, fraud, or dishonesty?:** No

- **Have any unsatisfied judgments or liens against them?:** No

### Signature

**Signature:** /s/ Dorothy J. Flynn

**Title:** President, Broadridge Corporate Issuer Solutions

**Date:** 01/17/2023

**Phone Number:** 215-553-5433