# EDGAR Filing Document

**Accession Number:** 0000733598
**File Stem:** 0000733598-23-000001
**Filing Date:** 2023-3
**Character Count:** 5902
**Document Hash:** 0d76820f0d3499a2f2541414276c9cd9
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000733598-23-000001.hdr.sgml**: 20230410

**ACCESSION NUMBER**: 0000733598-23-000001

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

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20230308

**DATE AS OF CHANGE**: 20230410

**EFFECTIVENESS DATE**: 20230318

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** ALLIANCEBERNSTEIN INVESTOR SERVICES INC /TA
- **CENTRAL INDEX KEY:** 0000733598
- **IRS NUMBER:** 133211780
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** TA-1/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 084-01187
- **FILM NUMBER:** 23809991

**BUSINESS ADDRESS:**
- **STREET 1:** 8000 INTERSTATE HWY 10 WEST
- **CITY:** SAN ANTONIO
- **STATE:** TX
- **ZIP:** 78230
- **BUSINESS PHONE:** 210-384-6000

**MAIL ADDRESS:**
- **STREET 1:** 8000 INTERSTATE HWY 10 WEST
- **CITY:** SAN ANTONIO
- **STATE:** TX
- **ZIP:** 78230

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** ALLIANCE FUND SERVICES INC                              /TA
- **DATE OF NAME CHANGE:** 20010503

### 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:** ALLIANCEBERNSTEIN INVESTOR SERVICES INC /TA

**FINS Number:** 407254

**Address of principal office where transfer agent activities are performed:** 8000 Interstate Hwy 10 West, San Antonio, TX, 78230

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

**Telephone Number:** 210-384-6000

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

**Other Business Location Address 1:** 501 Commerce Street, Nashville, TN, 37203

**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?:** Yes

- **Controlling Entity Name:** AllianceBernstein Holding L.P. and Equitable Holdings, Inc.

- **Agreement Description:** AllianceBernstein Investor Services, Inc. is a wholly-owned subsidiary of AllianceBernstein L.P., which in turn is owned by AllianceBernstein Holding L.P. and Equitable Holdings, Inc.

**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   |
|:---|:---|:---|:---|:---|:---|
| John C. Weisenseel     | 05/14/2012                | SVP/CFO                                 | NA               | Yes              | 09/30/2021              |
| Edward J. Farrell      | 08/25/2003                | Controller                              | NA               | Yes              | 12/31/2018              |
| Raymond A. Carli       | 10/24/2010                | Treasurer                               | NA               | Yes              | 12/31/2018              |
| Peter G. Callahan      | 03/09/1987                | SVP/Hd of ABIS & Retail Infrastruct Svc | NA               | Yes              |  |
| Laurence E. Cranch     | 07/01/2004                | SVP/General Counsel                     | NA               | Yes              | 12/31/2021              |
| David M. Lesser        | 09/16/1996                | SVP/Counsel & Corporate Secretary       | NA               | Yes              |  |
| Mark R. Manley         | 05/21/1984                | SVP/GLBL Hd of Compliance & Gen Counsel | NA               | Yes              |  |
| William R. Siemers     | 07/12/2004                | SVP/Corp Controller & Chief Acctg Off   | NA               | Yes              |  |
| AllianceBernstein L.P. | 11/16/1983                | Corporate Parent                        | 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?:** No

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

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

### Signature

**Signature:** Melissa Guerra

**Title:** VP/Assistant Director of Compliance

**Date:** 03/08/2023

**Phone Number:** 210-384-6044