# EDGAR Filing Document

**Accession Number:** 0001630490
**File Stem:** 0001630490-26-000001
**Filing Date:** 2026-2
**Character Count:** 25169
**Document Hash:** 50adc7ad6f3c39032b6baa97c990ff90
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001630490-26-000001.hdr.sgml**: 20260317

**ACCESSION NUMBER**: 0001630490-26-000001

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

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20260210

**DATE AS OF CHANGE**: 20260317

**EFFECTIVENESS DATE**: 20260220

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** FIS Investor Services LLC /TA
- **CENTRAL INDEX KEY:** 0001630490

**ORGANIZATION NAME:**
- **EIN:** 472637849
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** TA-1/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 084-06522
- **FILM NUMBER:** 26759544

**BUSINESS ADDRESS:**
- **STREET 1:** 4249 EASTON WAY
- **STREET 2:** SUITE 400
- **CITY:** COLUMBUS
- **STATE:** OH
- **ZIP:** 43219
- **BUSINESS PHONE:** 614-337-6605

**MAIL ADDRESS:**
- **STREET 1:** 4249 EASTON WAY
- **STREET 2:** SUITE 400
- **CITY:** COLUMBUS
- **STATE:** OH
- **ZIP:** 43219

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** SunGard Investor Services LLC /TA
- **DATE OF NAME CHANGE:** 20150116

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** SunGard Investor Services LLC
- **DATE OF NAME CHANGE:** 20150112

### 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:** FIS Investor Services LLC /TA

**FINS Number:** 351841

**Address of principal office where transfer agent activities are performed:** 4249 Easton Way, Suite 400, Columbus, OH, 43219

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

**Telephone Number:** 6143376605

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

**Other Business Location Address 1:** 11601 Rosevelt Boulevard North, St Petersburg, FL, 33716

**Other Business Location Address 2:** Plot #18-23 Financial Dist Nanakramguda, Hyderabad, K7, 500019

**Other Business Location Address 3:** Nowy Rynek Complex, Building B, Przemyslowa 3 str., Poznan, R9, 61-579

**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?:** Yes

**Service Company Arrangement 1:**

- **Name:** Victory Capital Transfer Agency, Inc.

- **File Number:** 084-01197

- **Address:** 9800 Fredericksburg Rd., San Antonio, TX, 78288

**Service Company Arrangement 2:**

- **Name:** Franklin Templeton Investor Services LLC/TA

- **File Number:** 084-01036

- **Address:** 3344 Quality Drive, Rancho Cordova, CA, 95670

**Service Company Arrangement 3:**

- **Name:** The Northern Trust Company

- **File Number:** 085-05127

- **Address:** 333 S Wabash Ave 38th fl, Chicago, IL, 60604

### Ownership and Control Information

**Registrant Type:** Other

**Description (if Other):** Limited Liability Company

**Does any other person control the management or policies of the applicant?:** Yes

- **Controlling Entity Name:** FIS Capital Markets US LLC

- **Agreement Description:** 100% owner of FIS Investor Services LLC

**Does any other person directly or indirectly finance the applicant?:** No

**Control Affiliates Information:**

| Entity Name     | Relationship Start Date   | Title or Status          | Authority Description   |
|:---|:---|:---|:---|
| Bridget Ireland | 02/15/2016                | Chief Compliance Officer | Head of Compliance      |

### 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:** Assent LLC (later acquired by SunGard Brokerage & Securities Services LLC

    - **Action Title:** Case Number C109-304-BLM

    - **Action Date:** 05/23/2011

    - **Court/Body Name and Location:** State of Nevada Office of the Secretary of State Securities Division

    - **Action Description:** Fine and inspection of records fees paid for four unlicensed Nevada branch offices from 2003-2010

    - **Disposition:** $10,000 monetary fine and $1,000 fee paid for inspection of records

- **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?:** Yes

  - **Details #1:**

    - **Entity Name:** SunGard Brokerage & Securities Services

    - **Action Title:** Case Number 2014039942201

    - **Action Date:** 12/30/2015

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it transmitted reportable order events (roes) to the order audit trail system (oats) that contained inaccurate, incomplete, or improperly formatted data, and failed to record accurate and/or completed information on the memorandum of brokerage orders.

    - **Disposition:** $17,500 monetary fine and censure

  - **Details #2:**

    - **Entity Name:** SunGard Brokerage & Securities Services LLC

    - **Action Title:** Case Number 2013035829201

    - **Action Date:** 04/15/2015

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it transmitted reports that contained inaccurate, incomplete, or improperly formatted data to order audit trail system (oats).

    - **Disposition:** $17,500 monetary fine and censure

  - **Details #3:**

    - **Entity Name:** SunGard Brokerage & Securities Services LLC

    - **Action Title:** Case Number 2013035489101

    - **Action Date:** 04/08/2015

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that for a sample of settlement dates, the firm submitted its short interest position report to FINRA that included 39 short interest positions totaling 12,819,218 shares when the firm should have reported four short interest positions totaling 257,001 shares.

    - **Disposition:** $15,000 monetary fine and censure.

  - **Details #4:**

    - **Entity Name:** SunGard Brokerage & Securities Services LLC

    - **Action Title:** Case Number 2010025353101

    - **Action Date:** 10/06/2014

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it executed short sale transactions and failed to report each of these transactions to the FINRA/NASDAQ trade reporting facility with a short sale modifier. The findings stated that the firm, on 12,783 occasions, accepted a short sale order in an equity security from another person, or effected a short sale in an equity security for its own account, without: borrowing the security, or entering into a bona-fide arrangement to borrow the security; or having reasonable grounds to believe that the security could be borrowed so that it could be delivered on the date delivery is due; and documenting compliance with SEC Rule 203(b)(1) of regulation SHO. The firm failed to take reasonable steps to establish that the intermarket sweep orders (ISOS) it routed met the definitional requirements set forth in Rule 600(B)(30) of regulation NMS.

    - **Disposition:** $40,000 monetary fine and censure.

  - **Details #5:**

    - **Entity Name:** SunGard Brokerage & Securities Services LLC

    - **Action Title:** Case Number 201102999870

    - **Action Date:** 05/30/2014

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that in transactions for or with a customer, the firm failed to execute orders fully and promptly. The findings stated that as a result, the firm failed to use reasonable diligence to ascertain the best inter-dealer market in these transactions and, therefore, failed to buy or sell in such market so that the resultant price to its customer was as favorable as possible under prevailing market conditions.

    - **Disposition:** $12,500 monetary fine, $399.75 restitution, plus interest, and censure.

  - **Details #6:**

    - **Entity Name:** SunGard Brokerage & Securities Services LLC

    - **Action Title:** Case Number 2011030752101

    - **Action Date:** 03/11/2014

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it failed to establish, maintain, and enforce written policies and procedures reasonably designed to prevent the execution or displays of a short sale order of a covered security as a price that is less than or equal to the current national best bid.

    - **Disposition:** $15,000 monetary fine and censure.

  - **Details #7:**

    - **Entity Name:** SunGard Brokerage & Securities Services LLC

    - **Action Title:** Case Number 2011026107701

    - **Action Date:** 09/12/2013

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** SunGard Brokerage & Securities Services LLC transmitted reports to the order audit trail system (oats) that contained inaccurate account type, member type and special handling codes; inaccurate market participant identifiers (MPIDS); and duplicative and/or inaccurate order reports. The firm's supervisory system did not provide for supervision reasonable designed to achieve compliance with applicable securities laws, regulations and/or FINRA rules addressing quality of market topics. The firm's written supervisory procedures (WSPS) failed to provide for minimum requirements for adequate supervisory procedures in order handling; disclosure of order routing information; sales transactions; affirmative determinations; and soft dollar accounts and trading: preparing records, operating outside SEC-established safe harbor, records of research or other services provided, monitoring research or services provided. The firm failed to provide documentary evidence that it performed the supervisory reviews set forth in its SWPS concerning the use of multiple MPIDS.

    - **Disposition:** $30,000 monetary fine, censure and required to revise its WSPS.

  - **Details #8:**

    - **Entity Name:** SunGard Brokerages & Securities Services LLC

    - **Action Title:** Case Number 12-0109

    - **Action Date:** 03/18/2013

    - **Court/Body Name and Location:** Chicago Board Options Exchange

    - **Action Description:** SunGard Brokerage & Securities Services LLC, CBSX Trading Permit Holder, was censured and fined $5,000 for the following conduct: SunGard failed to register the minimum number of individuals required to register as a proprietary trader principal ("TP") in webcrd by November 5, 2011. Additionally, it is noted that SunGard updated its written supervisory procedures related to registration and qualification of associated persons in February 2013. (Exchange Rule 3.6A - Qualification and Registration of Trading Permit Holders and Associated persons)

    - **Disposition:** $5,000 monetary fine and censure.

  - **Details #9:**

    - **Entity Name:** SunGard Brokerage & Securities Services LLC

    - **Action Title:** Case Number 2011026301801

    - **Action Date:** 03/06/2013

    - **Court/Body Name and Location:** NASDAQ Stock Market

    - **Action Description:** SunGard Brokerage & Securities Services LLC failed to reasonably avoid displaying, and engaged in a pattern or practice of displaying, quotations that locked or crossed a protected quotation, in that, it entered intermarket sweep offers into the NASDAQ single book execution system that locked or crossed a quotation previously disseminated pursuant to an effective national market system plan and failed to simultaneously route an intermarket sweep order to execute against the full displayed size of the locked or crossed protected quote.

    - **Disposition:** $7,500 monetary fine and censure.

  - **Details #10:**

    - **Entity Name:** SunGard Brokerage & Securities Services LLC

    - **Action Title:** Case Number 20110275360

    - **Action Date:** 10/21/2011

    - **Court/Body Name and Location:** FINRA on behalf of NYSE Regulation and NYSE ARCA options

    - **Action Description:** FINRA Alleged that there was a minor market regulation violation- The firm's written supervisory procedures with regard to NYSE ARCA options Rule 6.6(a) in effect between January 19, 2010 and December 21, 2011 were inadequate in that they did not have a set of reviews in place for LOPR rejects or for insuring the accuracy of the firms' LOPR records.

    - **Disposition:** $3,500 monetary fine, and required to review its WSPS.

  - **Details #11:**

    - **Entity Name:** Assent LLC ( later acquired by SunGard Brokerage & Securities Services LLC)

    - **Action Title:** Case Number 2011026800801

    - **Action Date:** 10/12/2012

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** The firm failed to timely report to the order audit trail system (oats) reportable order events; transmitted to oats certain route and/or combined order/route reports that the oats system was unable to link to the related order routed to NASDAQ or to the corresponding new order transmitted by the destination member firm or to proceeding route or combined order/route reports transmitted by other member firms due to inaccurate, incomplete or improperly formatted data; transmitted to oats route or combined order/route reports that the oats system was unable to link to the corresponding new order transmitted by the destination member firm due to inaccurate, incomplete or improperly formatted data; and transmitted to oats new order reports that the oats system was unable to link to the preceding route or combined order/route reports transmitted by other member firms due to inaccurate, incomplete or improperly formatted data.

    - **Disposition:** $10,000 monetary fine and censure

  - **Details #12:**

    - **Entity Name:** Assent LLC ( later acquired by SunGard Brokerage & Securities Services LLC)

    - **Action Title:** Case Number 2010021587601

    - **Action Date:** 02/17/2011

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** Assent LLC transmitted to the order audit trail system (oats) reports that contained inaccurate, incomplete or improperly formatted data; reports(3)(B); other trading rules- NASD Rule 3340 and FINRA rule 6460-Trading through a trading halt; other rules- SEC rule 612(A)- Sub penny transactions; Multiple market participant identifiers- FINRA rule 6160; and communications networks- SEC rule 201(B)- Charging inconsistent fees, 5% threshold, 20% threshold and ATS trade reporting facility reporting.

    - **Disposition:** $37,500 monetary fine, censure and required to review its WSPS.

  - **Details #13:**

    - **Entity Name:** Assent LLC (later acquired by SunGard Brokerage & Securities Services LLC)

    - **Action Title:** Case Number 10-0033

    - **Action Date:** 11/01/2010

    - **Court/Body Name and Location:** Chicago Board Options Exchange

    - **Action Description:** Assent LLC, a CBOE Stock Exchange trading permit holder registered to conduct a proprietary trading business, was censured and fined $75,000 for the following conduct. Assent failed to adhere to just and equitable principles of trade through its associated person (prop trader). During this period (prop trader) effected numerous transactions in which he purchased and sold (or sold short and purchased) numerous shares of stock, including of liquid securities, over a short duration of time which, in certain instances, briefly effected the price of the underlying security and subsequently, (prop trader) purchased and or sold numerous corresponding options' contracts in that security. As a result, (prop trader) inappropriately capitalized on price movements in corresponding options. In addition, Assent failed to adequately supervise (prop trader) by failing to enforce a trading restriction implemented by Assent.

    - **Disposition:** $75,000 monetary fine and censure.

  - **Details #14:**

    - **Entity Name:** Assent LLC ( later acquired by SunGard Brokerage & Securities Services LLC)

    - **Action Title:** Case Number 2006006204501

    - **Action Date:** 09/24/2010

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** Assent LLC submitted short interest position reports in NASDAQ, OTC, AMEX and NYSE -listed securities to NASD that were incorrect. The firm's supervisory system did not provide for supervision reasonably designed to achieve compliance with applicable securities laws, regulations and NASD rules concerning short interest reporting. The firm transmitted to the order audit trail system (OATS) reports that did not include the special handling code, contained inaccurate timestamps or contained inaccurate order receipt times. The firms' supervisory system did not provide for supervision reasonably designed to achieve compliance with applicable securities laws, Regulations and/or NASD rules addressing quality of market topics. The firm's written supervisory procedures failed to provide for minimum requirements for adequate written supervisory procedures in order handing SEC Rules 606(B)(65) & (73) and 602(B)(1) & (4); best execution NASD rules 2320 & 3110- Regular and rigorous review, three quote rule; sales transactions-reg SHO Rule 204T; SEC Rule 10b-21; information barriers - NASD Rule 3010 and FINRA Rule 2010: and books and records SEC Rule 17A-3 & 17A-4 and NASD rule 3110(b)

    - **Disposition:** $65,000 monetary fine, censure and required to revise its WSPS

  - **Details #15:**

    - **Entity Name:** Assent LLC (later acquired by SunGard Brokerage & Securities Services LLC)

    - **Action Title:** Case Number 2007008882402

    - **Action Date:** 07/28/2010

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** Assent LLC permitted a then proprietary trader and associated person to engage in proprietary firm options trading when he was not properly (and series 63 qualification) and provided for no exceptions unless approvals were obtained and the trader's activities were restricted until none of the licenses required by the firm nor were activities restricted. As a result, the firm failed to enforce its written supervisory procedures by allowing the associated person to disregard FINRA licensing requirements and the firm failed to enforce written internal firm trading limits that applied to the associated person to disregard FINRA licensing requirements and the firm's internal licensing requirements applicable to its proprietary traders. The firm failed to enforce written internal firm trading limits that applied to the associated person by failing to take adequate steps to ensure the associated person and other relevant associated persons of the firm understood the meaning and application of the terms of the associated person's individual trading limits and allowing the associated person to exceed his individual trading limits on several occasions.

    - **Disposition:** $79,000 monetary fine and censure.

  - **Details #16:**

    - **Entity Name:** Assent LLC (later acquired by SunGard Brokerage & Securities Services LLC)

    - **Action Title:** Case Number 200801970801

    - **Action Date:** 06/29/2010

    - **Court/Body Name and Location:** NASDAQ Stock Market

    - **Action Description:** Assent LLC'S supervisory system and written supervisory procedures were not reasonably designed to achieve compliance with applicable securities laws and regulations (including NASD Notice to Members 04-66) and NASDAQ rules concerning the prevention of erroneous orders and transactions and frivolous clearly erroneous transaction complaints.

    - **Disposition:** $10,000 monetary fine, censure and required to revise its WSPS.

  - **Details #17:**

    - **Entity Name:** Assent LLC (later acquired by SunGard Brokerage & Securities Services LLC)

    - **Action Title:** Case Number 2004100004203

    - **Action Date:** 09/28/2007

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** Assent LLC accepted customer short orders through a trading platform for institutional customers, and for each order, failed to make an affirmative determination that the firm would receive delivery of the security on behalf of the customer or that the firm could borrow the security on behalf of the customer for delivery by settlement date.

    - **Disposition:** $16,000 monetary fine and censure.

  - **Details #18:**

    - **Entity Name:** Assent LLC (later acquired by SunGard Brokerage & Securities Services LLC)

    - **Action Title:** Case Number 2005001466801

    - **Action Date:** 09/24/2007

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** Assent LLC transmitted to oats reports that contained inaccurate, incomplete or improperly formatted data in that oats was unable to match the reports to the identified receiving firm's related new order reports; OATS was unable to match the reports to the related reports in supermontage or selectnet; and the firm inaccurately denoted limit orders as market orders and failed to include the time-in-force in new order reports. The firm failed to report to the NASDAQ market center the correct symbol indicating whether the firm executed transactions in eligible securities in a principal or agency capacity.

    - **Disposition:** $110,000 monetary fine and censure.

  - **Details #19:**

    - **Entity Name:** Assent LLC (later acquired by SunGard Brokerage & Securities Services LLC)

    - **Action Title:** Case Number 2005000006001

    - **Action Date:** 09/21/2006

    - **Court/Body Name and Location:** NASD

    - **Action Description:** Assent LLC submitted reports to oats that contained inaccurate, incomplete or improperly formatted data.

    - **Disposition:** $7,500 monetary fine and censure

  - **Details #20:**

    - **Entity Name:** Assent LLC (later acquired by SunGard Brokerage & Securities Services LLC)

    - **Action Title:** Case Number 2005001765202

    - **Action Date:** 06/15/2007

    - **Court/Body Name and Location:** NASD

    - **Action Description:** Assent LLC failed to submit accurate trading information through the submission of electronic blue sheets in response to requests from NASD; the inaccuracies were systemic and included the reporting of short sales as long sales. The firm's supervisory system did not provide for supervision reasonably designed to achieve compliance with applicable securities laws, regulations and NASD rules concerning the submission of electronic blue sheet data as required by NASD rule 8211 and 8213.

    - **Disposition:** $35,000 monetary fine and censure

  - **Details #21:**

    - **Entity Name:** FIS Brokerage & Securities Services LLC

    - **Action Title:** Case Number 2016049884201

    - **Action Date:** 09/29/2020

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that its supervisory system and pre trade risk management controls were not reasonably designed to prevent the entry of erroneous orders.

    - **Disposition:** $48,000.00 monetary fine and censure

- **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:** Bridget Ireland

**Title:** Chief Compliance Officer

**Date:** 02/10/2026

**Phone Number:** 614-337-6605