# EDGAR Filing Document

**Accession Number:** 0001898031
**File Stem:** 0001898031-23-000002
**Filing Date:** 2023-3
**Character Count:** 5593
**Document Hash:** 5d5d65fe490ae201f6a5aac6307776b4
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001898031-23-000002.hdr.sgml**: 20230303

**ACCESSION NUMBER**: 0001898031-23-000002

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

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20230301

**DATE AS OF CHANGE**: 20230303

**EFFECTIVENESS DATE**: 20230311

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Paralel Technologies LLC
- **CENTRAL INDEX KEY:** 0001898031
- **IRS NUMBER:** 853023507
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** TA-1/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 084-06828
- **FILM NUMBER:** 23702459

**BUSINESS ADDRESS:**
- **STREET 1:** 1700 BROADWAY
- **STREET 2:** SUITE 1850
- **CITY:** DENVER
- **STATE:** CO
- **ZIP:** 80290
- **BUSINESS PHONE:** 303-226-4150

**MAIL ADDRESS:**
- **STREET 1:** 1700 BROADWAY
- **STREET 2:** SUITE 1850
- **CITY:** DENVER
- **STATE:** CO
- **ZIP:** 80290

### 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:** Paralel Technologies LLC

**FINS Number:** 369876

**Address of principal office where transfer agent activities are performed:** 1700 Broadway, Suite 1850, Denver, CO, 80290

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

**Telephone Number:** 3032264150

**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:** Other

**Description (if Other):** LLC

**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                   | Authority Description                  |
|:---|:---|:---|:---|
| Jeremy May                | 09/14/2020                | CEO, Manager                      | Controls firm affairs, Owner >25%      |
| Christopher Moore         | 07/26/2021                | General Counsel, CCO              | Directs legal and compliance affairs   |
| Jonathan Vickery          | 03/15/2021                | Chief Product Officer, CTO        | Directs product and technology affairs |
| Vinay Nair                | 09/14/2020                | Chairman, Indirect Owner; Manager | Controls TIFIN Group LLC               |
| SLCT Holdings, LLC        | 06/07/2021                | Owner                             | Owner >5% of Firm                      |
| Susan L. Cicoria Trust    | 06/07/2021                | Indirect Owner                    | Co-Manager of SLCT Holdings, LLC       |
| Peak Trust Company        | 06/07/2021                | Indirect Owner                    | Trustee of Susan L. Cicoria Trust      |
| Stewart West Indies Trust | 06/07/2021                | Indirect Owner                    | Owner of Peak Trust Company            |
| Peak Trust Company        | 06/07/2021                | Indirect Owner                    | Trustee of Stewart West Indies Trust   |
| TIFIN Group LLC           | 09/14/2020                | Owner                             | Owner >25% of Firm                     |
| Joel Looney               | 06/07/2021                | Indirect Owner                    | Co-Manager of SLCT Holdings LLC        |
| Bradley Swenson           | 12/31/2022                | Chief Compliance Officer          | Directs firm compliance affairs        |

### 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:** Christopher Moore

**Title:** General Counsel

**Date:** 02/28/2023

**Phone Number:** 3032264154