# EDGAR Filing Document

**Accession Number:** 0000920888
**File Stem:** 0000920888-23-000001
**Filing Date:** 2023-2
**Character Count:** 8982
**Document Hash:** 24aec27f4bdca23c6b60bfed4e153e65
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000920888-23-000001.hdr.sgml**: 20230315

**ACCESSION NUMBER**: 0000920888-23-000001

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

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20230224

**DATE AS OF CHANGE**: 20230315

**EFFECTIVENESS DATE**: 20230306

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** ANDESA SERVICES, INC. /TA
- **CENTRAL INDEX KEY:** 0000920888
- **IRS NUMBER:** 232545253

**FILING VALUES:**
- **FORM TYPE:** TA-1/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 084-05509
- **FILM NUMBER:** 23734441

**BUSINESS ADDRESS:**
- **STREET 1:** 6575 SNOWDRIFT ROAD
- **STREET 2:** SUITE 108
- **CITY:** ALLENTOWN
- **STATE:** PA
- **ZIP:** 18106
- **BUSINESS PHONE:** 6108218980

**MAIL ADDRESS:**
- **STREET 1:** 6575 SNOWDRIFT ROAD
- **STREET 2:** SUITE 108
- **CITY:** ALLENTOWN
- **STATE:** PA
- **ZIP:** 18106

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** ANDESA TPA INC                                          /TA
- **DATE OF NAME CHANGE:** 19940325

### 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:** ANDESA SERVICES, INC. /TA

**FINS Number:** 470047

**Address of principal office where transfer agent activities are performed:** 6575 Snowdrift Road, Ste 108, Allentown, PA, 18106

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

**Telephone Number:** 610-821-8980

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

**Is registrant a self-transfer agent?:** Yes

**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   |
|:---|:---|:---|:---|:---|:---|
| George Franklin Pendleton, III                | 07/01/2007                | Outside Director (Non-voting)            | NA               | Yes              |  |
| Linda Radelle Ellison                         | 01/01/1989                | Director of Client Management            | NA               |  | 01/31/2020              |
| Phillip Vincen Collier                        | 07/01/2003                | Outside Director                         | NA               | Yes              |  |
| Malcolm Northup Briggs                        | 01/01/1989                | Outside Director (Non-voting)            | NA               | Yes              |  |
| Steve James Cochlan                           | 01/01/1994                | Other                                    | NA               |  | 01/01/2018              |
| John Emmett Walker                            | 01/01/1989                | Outside Director (Non-voting)            | NA               | Yes              |  |
| Mark Robert Wilkin                            | 03/14/2011                | Chief Financial Officer                  | NA               | Yes              |  |
| Ronald Scheese                                | 04/28/2006                | President and Chief Executive Officer    | NA               | Yes              |  |
| Christopher John Shalbert                     | 01/01/2012                | Chief Technology Officer                 | NA               | Yes              |  |
| Stephen Mark Budihas                          | 01/01/2014                | Chief Operation Officer                  | NA               | Yes              |  |
| Andesa Services Employee Stock Ownership Plan | 02/01/2016                | ESOP                                     | E                |  |  |
| Roy Eric Peterson                             | 01/16/2017                | Chief Technology Officer                 | NA               |  | 01/06/2023              |
| Michelle Cramer                               | 01/01/2019                | Chief Implementation Officer             | NA               | Yes              |  |
| Laura Fell                                    | 01/01/2019                | Human Resources Officer                  | NA               |  | 05/25/2022              |
| David Mark Anderson                           | 01/01/2021                | Outside Director                         | NA               | Yes              |  |
| Angela Conn                                   | 01/01/2021                | Director of Client Experience            | NA               | Yes              |  |
| Gloria Hopfensperger                          | 01/01/2021                | Director of Operational Excellence & Con | NA               | Yes              |  |
| Jacqueline I. Heath Hunter                    | 01/01/2021                | Sec/Enterprise Risk Management Officer   | NA               | Yes              |  |
| Wendy Lee York                                | 01/01/2021                | Outside Director                         | NA               | Yes              |  |
| Charles Ripley Tilden                         | 01/01/2016                | Chairman of the Board                    | 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?:** Yes

  - **Details #1:**

    - **Entity Name:** Malcolm N. Briggs

    - **Action Title:** Order of Denial

    - **Action Date:** 12/01/1988

    - **Court/Body Name and Location:** New Jersey Bureau of Securities

    - **Action Description:** Persuant to N.J.S.A. 49:3-58(a)(2)(ii) denied effectiveness to the investment advisor application of Andesa Corporation, Robert N. Rust II, John E. Walker, Malcolm N. Briggs & Howard E. Snyder.

    - **Disposition:** On May 4, 1990, a Consent Order was entered pursuant to which the Order of Denial was vacated ab initio, and the application for investment advisor registration was accepted. No findings of a violation were made when the Order was vacated.

- **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?:** Yes

  - **Details #1:**

    - **Entity Name:** Jacqueline Ida Heath (Hunter)

    - **Action Title:** Administrative Suspension

    - **Action Date:** 03/04/2004

    - **Court/Body Name and Location:** Michigan State Bar Association

    - **Action Description:** Licensed in the State of Michigan 11/1988. In 1992, Jacqueline moved to New Jersey and after obtaining a license there, moved Michigan license to "Inactive" Status. At that time, there were no ongoing annual fees for Members on Inactive status. In October 2003, the rule was changed to require annual fees from Inactive status Members. In 3/2004, License was suspended for failure to pay fees.

    - **Disposition:** Learned of the suspension 2014/2015. Contacted the Michigan Bar Association and made full payment for fees going back to the original rule change. License was restored to "inactive" status at Jacqueline's request on 9/22/2015.

- **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:** Jaqueline Hunter

**Title:** Secretary / ERMO

**Date:** 02/24/2023

**Phone Number:** 610 821-8980