# EDGAR Filing Document

**Accession Number:** 0001455353
**File Stem:** 0001455353-26-000008
**Filing Date:** 2026-3
**Character Count:** 7397
**Document Hash:** b954a0abe994703b92b679da274da0d3
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001455353-26-000008.hdr.sgml**: 20260319

**ACCESSION NUMBER**: 0001455353-26-000008

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

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20260319

**DATE AS OF CHANGE**: 20260319

**EFFECTIVENESS DATE**: 20260329

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** West Coast Stock Transfer Inc.
- **CENTRAL INDEX KEY:** 0001455353

**ORGANIZATION NAME:**
- **EIN:** 800343567
- **STATE OF INCORPORATION:** CA
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** TA-1/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 084-06347
- **FILM NUMBER:** 26773598

**BUSINESS ADDRESS:**
- **STREET 1:** 721 N. VULCAN AVE.
- **STREET 2:** STE. 106
- **CITY:** ENCINITAS
- **STATE:** CA
- **ZIP:** 92024
- **BUSINESS PHONE:** 6196644780

**MAIL ADDRESS:**
- **STREET 1:** 721 N. VULCAN AVE.
- **STREET 2:** STE. 106
- **CITY:** ENCINITAS
- **STATE:** CA
- **ZIP:** 92024

### 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:** West Coast Stock Transfer Inc.

**FINS Number:** 339846

**Address of principal office where transfer agent activities are performed:** 721 N Vulcan Ave., Suite 106, Encinitas, CA, 92024

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

**Telephone Number:** 619-664-4783

**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?:** Yes

**Is registrant engaged as a service company by a named transfer agent?:** Yes

**Service Company Arrangement 1:**

- **Name:** 1transfer, LLC

- **File Number:** 084-06633

- **Address:** 720 N. Post Oak Rd., Ste 400, Houston, TX, 77024

### 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   |
|:---|:---|:---|:---|:---|
| Frank Edward Brickell | 01/23/2009                | President and Director | E                | Yes              |
| Michael Edward Tobler | 10/28/2019                | Secretary and Director | 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?:** 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?:** Yes

  - **Details #1:**

    - **Entity Name:** Frank Edward Brickell

    - **Action Title:** Order of Revocation

    - **Action Date:** 04/07/2014

    - **Court/Body Name and Location:** State of Illinois

    - **Action Description:** Based on the FINRA AWC File No. 2010022543701 (described in 10(e)), the State of Illinois initiated proceeds to revoke registration even though action did not involve the State of Illinois or its residents.

    - **Disposition:** The action was not challenged due to the time and monetary burden and the order has become final.

- **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:** Frank Edward Brickell

    - **Action Title:** Complai

    - **Action Date:** 03/31/2008

    - **Court/Body Name and Location:** Financial Industry Regulatory Authority (FINRA) - Self Regulatory Organization

    - **Action Description:** FINRA's Department of Enforcement is alleging that activities of three clients of World Trade Financial Corporation violated section 5 of the securities act and Frank Edward Brickell, as the registered representative, violated Conduct Rule 2110 by selling unregistered stock without an applicable exemption from registration. The shares deposited with the registered representative did not contain any restrictions on resale or transfer according to the transfer agent who was in possession of a legal opinion addressing the available of an exemption to registration. Enforcement has argued that the representative and the firm had a heighted responsibility to conduct a further inquiry as to the resale of these shares. The case also involves additional broker dealers, registered representatives, and shareholders who are claimed to have participated in an unregistered distribution. The shareholders and the issuer's officers appear to have knowingly orchestrated a distribution. World Trade Financial Corporation, its supervisors, and the registered representative did not knowingly participate in the alleged distribution. At the commencement of the hearing it was argued that distribution did occur, but there was lack of evidence that an illegal distribution occurred. The underlying premise is whether World Trade Financial Corporation had a heightened responsibility to conduct further inquires concerning the resale of the securities.

    - **Disposition:** The decision is Final.

  - **Details #2:**

    - **Entity Name:** Frank Edward Brickell

    - **Action Title:** Acceptance, Waiver and Consent

    - **Action Date:** 03/08/2013

    - **Court/Body Name and Location:** Financial Industry Regulatory Authority (FINRA) - Self Regulatory Organization

    - **Action Description:** On behalf of a certain customer, World Trade Financial Corporation received and sold securities to the public in over-the-counter transactions without the benefit of registration or a valid exemption to registration pursuant to Section 5 of the Securities Act of 1933, in violation of FINRA Rule 2010

    - **Disposition:** Letter of Acceptance, Waiver and Consent

- **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:** Frank Edward Brickell

**Title:** President

**Date:** 03/18/2026

**Phone Number:** 619-664-4783