# EDGAR Filing Document

**Accession Number:** 0001897086
**File Stem:** 0001897086-26-000006
**Filing Date:** 2026-4
**Character Count:** 5064
**Document Hash:** 562eab7af9ad4a35c57bf8f5a631e0b8
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001897086-26-000006.hdr.sgml**: 20260515

**ACCESSION NUMBER**: 0001897086-26-000006

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

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20260422

**DATE AS OF CHANGE**: 20260515

**EFFECTIVENESS DATE**: 20260502

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Cobalt Investment Services LLC
- **CENTRAL INDEX KEY:** 0001897086

**ORGANIZATION NAME:**
- **EIN:** 873642119
- **STATE OF INCORPORATION:** FL
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** TA-1/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 084-06824
- **FILM NUMBER:** 26984367

**BUSINESS ADDRESS:**
- **STREET 1:** 801 INTERNATIONAL PARKWAY STE 500
- **CITY:** LAKE MARY
- **STATE:** FL
- **ZIP:** 32746
- **BUSINESS PHONE:** 4076493150

**MAIL ADDRESS:**
- **STREET 1:** 801 INTERNATIONAL PARKWAY STE 500
- **CITY:** LAKE MARY
- **STATE:** FL
- **ZIP:** 32746

### 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:** Cobalt Investment Services LLC

**FINS Number:** 369587

**Address of principal office where transfer agent activities are performed:** 801 International Parkway, Suite 500, Lake Mary, FL, 32746

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

**Telephone Number:** 4076493150

**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   |
|:---|:---|:---|:---|:---|
| Benjamin Schick | 11/16/2021                | Managing Member   | E                | 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?:** Yes

  - **Details #1:**

    - **Entity Name:** Benjamin M. Schick

    - **Action Title:** Julie A. Coombs Tupper, et al. v. Cobalt Capital, Inc. and Benjamin Schick, FINRA Case No. 25 00465

    - **Action Date:** 03/06/2025

    - **Court/Body Name and Location:** FINRA Arbitration Charlotte, NC

    - **Action Description:** Customer Complaint: Claimant believes Respondents were negligent, breached fiduciary duties, and violated Regulation Best Interest (Rule 15l-1(a)) by recommending unsuitable non-traditional investments. Respondents are accused of failing to exercise the required care, skill, and diligence in understanding the risks and costs of these investments or comparing them to safer alternatives better suited to Claimant's needs. They also allegedly failed in their ongoing responsibilities to monitor and assist Claimant and instead persuaded her to invest further in these high-risk products without proper disclosures or due diligence.

    - **Disposition:** Pending Arbitration

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

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

### Signature

**Signature:** Benjamin Schick

**Title:** Managing Member

**Date:** 04/22/2026

**Phone Number:** 4076493150