# EDGAR Filing Document

**Accession Number:** 0001942713
**File Stem:** 0001942713-25-000002
**Filing Date:** 2025-6
**Character Count:** 10147
**Document Hash:** d9312a495d8e5ae86f62be20f2996f78
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001942713-25-000002.hdr.sgml**: 20250627

**ACCESSION NUMBER**: 0001942713-25-000002

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

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20250626

**DATE AS OF CHANGE**: 20250627

**EFFECTIVENESS DATE**: 20250706

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** United Transfer Agency LLC
- **CENTRAL INDEX KEY:** 0001942713

**ORGANIZATION NAME:**
- **EIN:** 883637088
- **STATE OF INCORPORATION:** NV
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** TA-1/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 084-06862
- **FILM NUMBER:** 251087960

**BUSINESS ADDRESS:**
- **STREET 1:** 525 GREEN PLACE
- **CITY:** WOODMERE
- **STATE:** NY
- **ZIP:** 11598
- **BUSINESS PHONE:** 9173990258

**MAIL ADDRESS:**
- **STREET 1:** 525 GREEN PLACE
- **CITY:** WOODMERE
- **STATE:** NY
- **ZIP:** 11598

### 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:** United Transfer Agency LLC

**FINS Number:** 371633

**Address of principal office where transfer agent activities are performed:** 525 Green Place, Woodmere, NY, 11598

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

**Telephone Number:** 9173990258

**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   |
|:---|:---|:---|:---|
| Oscar Seidel  | 08/17/2022                | CEO               | CEO of Transfer Agency  |

### 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?:** Yes

  - **Details #1:**

    - **Entity Name:** Dalmore Group, LLC

    - **Action Title:** AWC

    - **Action Date:** 09/17/2024

    - **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 and maintain a supervisory system, including WSPs, reasonably designed to achieve compliance with its suitability and best interest obligation in connection with its sale of private placements. The findings stated that although the firm asked issuers to complete a checklist of items for investigation, for some offerings, it had no checklist or any other record of investigation having been conducted, had a checklist that was missing information, or had a checklist completed by the issuer without any record of a supervisory review having been conducted by the firm.  The firms WSPs did not reference Reg BI until eight months after it took effect. The firm's WSPs provided only general information about its obligations under Reg BI, without tailoring that guidance to its business. The findings also stated that the firm failed to establish and maintain a supervisory system, including WSPs, reasonably designed to prevent the misuse of material, non-public information. The findings also included that the firm has failed to fingerprint 45 non-registered associated persons who were not exempt from fingerprinting requirements. FINRA found that the firm has failed to report outside business activities of six representatives on their forms U4 and untimely updated the forms U4 on four other representatives to disclose OBAs between two and nine months late. All of these OBAs were disclosed to the firm at or around the time the representatives registered with FINRA through an association with the firm. FINRA also found that the firm violated FINRA's standards for communications with the public on websites and in web-based video series that all featured securities offerings with the firm as broker-dealer of record. These websites and video series included statements that were unwarranted, exaggerated, and promissory regarding investments. In Addition, FINRA determined that the firm willfully violated section 10(B) of the exchange act and exchange act rule 10B-9 when it failed to state a date by which a private placement offering's minimum raise contingency had to be met, and approved investments for closure before the contingency was met. The firm participated in a private offering for a start-up seeking to acquire and operate certain franchises, with a minimum offering contingency. The private placement memorandum for this offering stated that there would be a minimum and a maximum raise, with an initial closing when the issuer has commitments for the minimum offering amount, followed by additional closings on a rolling basis. The firm failed to specify an actual date by which the minimum contingency had to be met and also approved over 50 individual investments totaling Approximately $3 million for disbursement to the issuer, on a rolling basis, while falling $2 million or more short of the contingency. Moreover, FINRA found that the firm failed to provide timely, complete, and accurate responses to requests for documents and information. The requests sought substantially similar documents and information about what roles and responsibilities certain foreign non-registered associated persons performed at the firm. In response, the firm omitted some individuals entirely, vaguely described the responsibilities of over two dozen individuals as "coordinates email requests" while omitting that certain individuals had managerial responsibilities and could access the firm's original books and records, and provided inaccurate titles such as administrative assistant, support lead, or operations lead, when the same persons help themselves out, including in firm email and on-line profiles, as vice president, director, and a department head of regulation A trading. The firm supplemented its response only after repeated communications from FINRA questioning the completeness of prior responses.

    - **Disposition:** Sanctions Ordered: Censure Monetary/Fine $375,000
Other Sanctions Ordered: Undertakings
Sanction Details: This settlement includes a finding that it willfully violated section 10(B) of the exchange act and exchange act rule 10B-9. The firm was censured, fined $375,000, and required to certify that it has remediated the issues identified in the AWC and implemented a reasonably designed supervisory system including WSPs.

  - **Details #2:**

    - **Entity Name:** Dalmore Group, LLC

    - **Action Title:** AWC

    - **Action Date:** 03/22/2021

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

    - **Action Description:** Allegations:
Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it failed to establish and maintain a supervisory system, including written supervisory procedures (WSPS), reasonably designed to ensure that it complied with its due diligence obligations. The findings stated that for private placement offerings that the firm recommended and sold to customers, it failed to conduct and document reasonable investigations of the offerings before recommending these securities to customers.  The firm failed to review any business plans or models, prospects for the industry, any existing or potential regulatory restrictions on the business and the competitive position of the issuer.  Further, the firm, rather than conducting an independent investigation, relied almost exclusively on documentation and information the issuer provided.  As a result, the firm failed to uncover relevant information regarding the issuer.  The findings also stated that the firm failed to submit required offering documents to FINRA within 15 days of the date of first sale for private placements.

    - **Disposition:** Resolution: AWC
Sanctions Ordered: Censure Monetary/Fine $40,000
Sanction Details: The firm was censured and fined $40,000.  Fine paid in full on March 5, 2023

- **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:** Zachary Borell

**Title:** Executive Assistant

**Date:** 06/26/2025

**Phone Number:** 9173990258