# EDGAR Filing Document

**Accession Number:** 0001090027
**File Stem:** 0001090027-26-000009
**Filing Date:** 2026-5
**Character Count:** 4996
**Document Hash:** f49330f129be2ed80b9cbcdd85bc6fd4
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001090027-26-000009.hdr.sgml**: 20260501

**ACCESSION NUMBER**: 0001090027-26-000009

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

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20260501

**DATE AS OF CHANGE**: 20260501

**EFFECTIVENESS DATE**: 20260511

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** PLANMEMBER SERVICES CORP /TA
- **CENTRAL INDEX KEY:** 0001090027

**ORGANIZATION NAME:**
- **EIN:** 000000000
- **STATE OF INCORPORATION:** CA

**FILING VALUES:**
- **FORM TYPE:** TA-1/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 084-05822
- **FILM NUMBER:** 26931097

**BUSINESS ADDRESS:**
- **STREET 1:** 6187 CARPINTERIA AVENUE
- **CITY:** CARPINTERIA
- **STATE:** CA
- **ZIP:** 93013
- **BUSINESS PHONE:** 8056841199

**MAIL ADDRESS:**
- **STREET 1:** 6187 CARPINTERIA AVENUE
- **CITY:** CARPINTERIA
- **STATE:** CA
- **ZIP:** 93013

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** PLANMEMBER SERVICES CORP                                /TA
- **DATE OF NAME CHANGE:** 19990708

### 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:** PLANMEMBER SERVICES CORP /TA

**FINS Number:** 507475

**Address of principal office where transfer agent activities are performed:** 6267 Carpinteria Avenue, Carpinteria, CA, 93013

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

**Telephone Number:** 805-684-1199

**Does registrant conduct business in other locations?:** No

**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?:** No

### 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   |
|:---|:---|:---|:---|:---|
| Jon M. Ziehl                        | 09/01/1984                | Director/CEO/President         | C                | Yes              |
| Terrall J. Janeway                  | 10/01/1998                | EVP/Chief Operating Officer    | NA               | Yes              |
| Sean P. Haley                       | 03/08/2019                | FVP & Chief Compliance Officer | NA               |  |
| Byron F. Bowman                     | 04/01/2015                | Secretary/General Counsel      | NA               | Yes              |
| PlanMember Financial Corporation    | 12/01/1991                | Direct Owner                   | E                |  |
| Equitable Distribution Holding Corp | 02/14/2013                | Indirect Owner                 | C                |  |
| Steven R. Hansen                    | 05/21/2022                | Chief Financial Officer        | NA               |  |

### 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:** Byron F. Bowman

**Title:** Secretary/General Counsel

**Date:** 05/01/2026

**Phone Number:** 805-684-1199