# EDGAR Filing Document

**Accession Number:** 0000721748
**File Stem:** 0001903596-25-000472
**Filing Date:** 2025-9
**Character Count:** 5403
**Document Hash:** 39db1aa93c1e8c2f1be7426fb8ed4e23
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001903596-25-000472.hdr.sgml**: 20251118

**ACCESSION NUMBER**: 0001903596-25-000472

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

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20250922

**DATE AS OF CHANGE**: 20251118

**EFFECTIVENESS DATE**: 20251002

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** PACIFIC STOCK TRANSFER CO /TA
- **CENTRAL INDEX KEY:** 0000721748

**ORGANIZATION NAME:**
- **EIN:** 880188772
- **STATE OF INCORPORATION:** NV
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** TA-1/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 084-01145
- **FILM NUMBER:** 251493922

**BUSINESS ADDRESS:**
- **STREET 1:** 6725 VIA AUSTI PARKWAY
- **STREET 2:** SUITE 300
- **CITY:** LAS VEGAS
- **STATE:** NV
- **ZIP:** 89119
- **BUSINESS PHONE:** 702-361-3033

**MAIL ADDRESS:**
- **STREET 1:** 6725 VIA AUSTI PARKWAY
- **STREET 2:** SUITE 300
- **CITY:** LAS VEGAS
- **STATE:** NV
- **ZIP:** 89119

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** PACIFIC STOCK TRANSFER CO                               /TA
- **DATE OF NAME CHANGE:** 19830620

### 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:** PACIFIC STOCK TRANSFER CO /TA

**FINS Number:** 406868

**Address of principal office where transfer agent activities are performed:** 6725 VIA AUSTI PARKWAY, SUITE 300, LAS VEGAS, NV, 89119

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

**Telephone Number:** 702-361-3033

**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?:** Yes

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

**Service Company Arrangement 1:**

- **Name:** Securitize Transfer Agent, LLC

- **File Number:** 084-06638

- **Address:** 78 SW 7th Street, Suite 500, Miami, FL, 33130

### 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   |
|:---|:---|:---|:---|:---|:---|
| William D. Miller | 01/14/2016                | Head of Stock Transfer       | NA               | Yes              |  |
| Joslyn Claiborne  | 08/13/2009                | Managing Director            | NA               | Yes              |  |
| Securitize, Inc.  | 02/16/2022                | Parent of Registrant         | E                | Yes              |  |
| John Buonomo      | 05/30/2023                | Senior Director              | NA               | Yes              | 07/23/2025              |
| Nicole Brown      | 04/14/2025                | Head of Shareholder Services | 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?:** Yes

  - **Details #1:**

    - **Entity Name:** Pacific Stock Transfer Company

    - **Action Title:** Halter Capital Corporation vs. Pacific Stock Transfer Company

    - **Action Date:** 08/11/2013

    - **Court/Body Name and Location:** U.S. District Court of Nevada

    - **Action Description:** Civil case involving removal of restrictive legend on certificate

    - **Disposition:** Dismissal with prejudice.

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

### Signature

**Signature:** Joslyn Claiborne

**Title:** Managing Director

**Date:** 09/22/2025

**Phone Number:** 702-361-3033