# EDGAR Filing Document

**Accession Number:** 0000820169
**File Stem:** 0001214659-25-011507
**Filing Date:** 2025-8
**Character Count:** 5643
**Document Hash:** 04b189736463fae4f7bc42f8c0a84c66
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001214659-25-011507.hdr.sgml**: 20250808

**ACCESSION NUMBER**: 0001214659-25-011507

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

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20250805

**DATE AS OF CHANGE**: 20250808

**EFFECTIVENESS DATE**: 20250815

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** SECURITIES TRANSFER CORP /TA
- **CENTRAL INDEX KEY:** 0000820169

**ORGANIZATION NAME:**
- **EIN:** 000000000

**FILING VALUES:**
- **FORM TYPE:** TA-1/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 084-01567
- **FILM NUMBER:** 251196953

**BUSINESS ADDRESS:**
- **STREET 1:** 2901 N. DALLAS PKWY
- **STREET 2:** SUITE 380
- **CITY:** PLANO
- **STATE:** TX
- **ZIP:** 75093
- **BUSINESS PHONE:** 469-633-0101

**MAIL ADDRESS:**
- **STREET 1:** 2901 N. DALLAS PKWY
- **STREET 2:** SUITE 380
- **CITY:** PLANO
- **STATE:** TX
- **ZIP:** 75093

### 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:** SECURITIES TRANSFER CORP /TA

**FINS Number:** 410322

**Address of principal office where transfer agent activities are performed:** 2901 N. DALLAS PKWY, SUITE 380, PLANO, TX, 75093

**Is mailing address different from principal office address?:** Yes

**Mailing Address:** PO Box 7016299, Dallas, TX, 75370

**Telephone Number:** 469-633-0101

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

**Other Business Location Address 1:** 13577 Feather Sound Drive, Suite 500, Clearwater, FL, 33762

**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   | Relationship End Date   |
|:---|:---|:---|:---|:---|:---|
| Northumberland Services Group, LLC | 08/12/2016                | Owner/Parent            | E                | Yes              |  |
| Christan J. Dobbins                | 08/12/2016                | President               | NA               | Yes              |  |
| Matthew J. Smith                   | 08/12/2016                | Chief Operating Officer | NA               | Yes              |  |
| George Johnson                     | 01/10/2003                | Vice President          | NA               | Yes              |  |
| Patricia Stephan                   | 05/21/2018                | Chief Financial Officer | NA               | Yes              | 06/24/2025              |
| Wendy Pritchett                    | 06/09/2025                | Controller              | NA               | Yes              |  |
| Janet Stackhouse                   | 07/11/2018                | Vice President          | 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?:** Yes

  - **Details #1:**

    - **Entity Name:** Securities Transfer Corporation

    - **Action Title:** In The Matter of Securities Transfer Corporation and Kevin Halter Jr

    - **Action Date:** 03/03/2011

    - **Court/Body Name and Location:** Securities and Exchange Commission

    - **Action Description:** Administrative cease-and-desist proceedings pursuant to sections 17A and 21C of the Securities Exchange Act of 1934.

    - **Disposition:** STC was subject to a cease-and-desist order, censured, and required to pay a $10,000.00 civil penalty.

- **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:** Matthew J. Smith

**Title:** Chief Operating Officer

**Date:** 08/05/2025

**Phone Number:** 469-633-0101