# EDGAR Filing Document

**Accession Number:** 0001853933
**File Stem:** 0001853933-23-000001
**Filing Date:** 2023-2
**Character Count:** 4559
**Document Hash:** 8f5c67b39079504b4c128d058e51534b
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001853933-23-000001.hdr.sgml**: 20230313

**ACCESSION NUMBER**: 0001853933-23-000001

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

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20230228

**DATE AS OF CHANGE**: 20230313

**EFFECTIVENESS DATE**: 20230310

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** RSE Transfer Agent LLC
- **CENTRAL INDEX KEY:** 0001853933
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** TA-1/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 084-06777
- **FILM NUMBER:** 23725856

**BUSINESS ADDRESS:**
- **STREET 1:** 446 BROADWAY
- **STREET 2:** FLOOR 2
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10013
- **BUSINESS PHONE:** 3479528058

**MAIL ADDRESS:**
- **STREET 1:** 446 BROADWAY
- **STREET 2:** FLOOR 2
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10013

### 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:** RSE Transfer Agent LLC

**FINS Number:** 368373

**Address of principal office where transfer agent activities are performed:** 446 Broadway, 2nd Floor, New York, NY, 10013

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

**Telephone Number:** 201-564-0493

**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:** 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             | Relationship End Date   |
|:---|:---|:---|:---|:---|
| RSE Markets, Inc                   | 03/10/2021                | Sole Member              | Sole Member                       |  |
| George Joseph Leimer               | 03/10/2021                | CEO of RSE Markets, Inc. | CEO of Sole Member                | 02/01/2023              |
| Maximilian Felix Niederste-Ostholt | 03/10/2021                | CFO of RSE Markets, Inc. | Officer of RSE Transfer Agent LLC |  |
| Christopher Bruno                  | 02/01/2023                | CEO of RSE Markets, Inc  | CEO of Sole Member                |  |

### 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:** Max Niederste-Ostholt

**Title:** Chief Financial Officer

**Date:** 02/28/2023

**Phone Number:** 2127293820