# EDGAR Filing Document

**Accession Number:** 0001424912
**File Stem:** 0001424912-26-000001
**Filing Date:** 2026-3
**Character Count:** 20247
**Document Hash:** 807e3ea625c0f690858b807dc0f6a394
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001424912-26-000001.hdr.sgml**: 20260305

**ACCESSION NUMBER**: 0001424912-26-000001

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

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20260303

**DATE AS OF CHANGE**: 20260305

**EFFECTIVENESS DATE**: 20260313

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** se2, LLC/TA
- **CENTRAL INDEX KEY:** 0001424912

**ORGANIZATION NAME:**
- **EIN:** 202640636
- **STATE OF INCORPORATION:** KS
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** TA-1/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 084-06285
- **FILM NUMBER:** 26725433

**BUSINESS ADDRESS:**
- **STREET 1:** ONE SECURITY BENEFIT PLACE
- **CITY:** TOPEKA
- **STATE:** KS
- **ZIP:** 66636-0001
- **BUSINESS PHONE:** (785) 438-3000

**MAIL ADDRESS:**
- **STREET 1:** ONE SECURITY BENEFIT PLACE
- **CITY:** TOPEKA
- **STATE:** KS
- **ZIP:** 66636-0001

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** se2, inc./TA
- **DATE OF NAME CHANGE:** 20080124

### 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:** se2, LLC/TA

**FINS Number:** 336479

**Address of principal office where transfer agent activities are performed:** One Security Benefit Place, Topeka, KS, 66636

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

**Telephone Number:** 785-438-3000

**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?:** Yes

**Service Company Arrangement 1:**

- **Name:** MUFG INVESTOR SERVICES (US), LLS

- **File Number:** 084-05475

- **Address:** 805 KING FARM BLVD, SUITE 600, ROCKVILLE, MD, 20850

### 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?:** 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             |
|:---|:---|:---|:---|
| Security Benefit Corporation   | 02/14/2005                | Sole Member se2 HoldCo, LLC          | Sole Member                       |
| ZINNIA CORPORATE HOLDINGS, LLC | 10/21/2013                | SOLE MEMBER IN SE2, LLC              | MEMBER                            |
| SE2 HOLDCO, LLC                | 10/21/2013                | Member SE2 ASSET HOLDINGS, LLC       | INDIRECT INTEREST                 |
| ELDRIDGE SBC HOLDINGS, LLC     | 07/01/2010                | SHAREHOLDER - SECURITY BENEFIT CORP  | INDIRECT INTEREST                 |
| ELDRIDGE INDUSTRIES, LLC       | 02/01/2017                | MEMBER - ELDRIDGE SBC HOLDINGS, LLC  | INDIRECT INTEREST                 |
| SBT INVESTORS, LLC             | 02/01/2017                | MEMBER - ELDRIDGE INDUSTRIES, LLC    | INDIRECT INTEREST                 |
| NZC CAPITAL, LLC               | 02/01/2017                | MEMBER - SBT INVESTORS, LLC          | INDIRECT INTEREST                 |
| TODD L. BOEHLY                 | 02/01/2017                | MEMBER - NZC CAPITAL, LLC            | INDIRECT INTEREST                 |
| Brad Medd                      | 11/13/2020                | CTO                                  | Officer                           |
| George Esposito                | 03/24/2022                | Chief Executive Officer              | Officer                           |
| SE2 Asset Holdings, LLC        | 06/11/2021                | Shareholder -- SE2 Holdings, LLC     | Indirect Interest                 |
| Robin Alonso                   | 11/01/2023                | Chief Compliance and Privacy Officer | Officer                           |
| Tim Nash                       | 05/07/2025                | Chief Information Security Officer   | Officer                           |
| Diliana Damianova              | 08/28/2025                | Treasurer                            | Officer                           |
| Elaine Page                    | 08/28/2025                | Chief Human Resources Officer        | Officer                           |
| Olga Buland                    | 02/05/2026                | General Counsel & Secretary          | General Counsel & Secretary       |
| Michael Celi                   | 02/05/2026                | Chief Product Officer                | Chief Product Officer             |
| Sal Aliperti                   | 02/05/2026                | Assistant Treasurer                  | Assistant Treasurer               |
| Aashit Sawhney                 | 02/05/2026                | President & Chief Revenue Officer    | President & Chief Revenue Officer |

### 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:** Security Distributors, Inc. (SDI)

    - **Action Title:** Consent Order

    - **Action Date:** 04/13/1978

    - **Court/Body Name and Location:** New York Securities Commission

    - **Action Description:** The applicant is under common control with SDI a registered broker/dealer. The NY Securities Commission alleged that SDI failed to file renewals of its broker/dealer.

    - **Disposition:** SDI consented to a $2,000 monetary fine and was ordered to cease and desist from further violations.

  - **Details #2:**

    - **Entity Name:** First Security Benefit Life Insurance and Annuity Company of New York (FSBL)

    - **Action Title:** Stipulation No. 2010-0095-S

    - **Action Date:** 02/26/2010

    - **Court/Body Name and Location:** State of New York Insurance Department (NYID)

    - **Action Description:** The NYID conducted a routine triennial market conduct exam for the period of January 1, 2004 through December 31, 2006. During such exam it found that FSBL unintentionally violated various provisions of the New York Insurance Department's replacement regulation ("Regulation 60").

    - **Disposition:** FSBL entered into a stipulation and consented to a $25,000 fine and further agreed to take all steps necessary to prevent recurrence of similar Regulation 60 violations.

  - **Details #3:**

    - **Entity Name:** Security Benefit Life Insurance Company (SBL)

    - **Action Title:** Stipulation & Consent Order

    - **Action Date:** 05/29/2007

    - **Court/Body Name and Location:** Illinois Dept. of Financial & Professional Regulation-Division of Insurance

    - **Action Description:** SBL failed to timely file a Policy In Form Mandatory Annual Statement Supplement Data Call as required by IL Div. of Insurance Regulations.

    - **Disposition:** SBL and the IL Div. of Insurance entered into a Stipulation 7 Consent Order agreeing to a $2,000 fine and SBL agreed to comply with the Regulation in future.

  - **Details #4:**

    - **Entity Name:** Security Benefit Life Insurance Company (SBL)

    - **Action Title:** Consent Order-Report ID #2186

    - **Action Date:** 03/28/2007

    - **Court/Body Name and Location:** Minnesota Commissioner of Commerce (MN COC)

    - **Action Description:** The Consent Order was the result of a consumer complaint against SBL alleging errors in the administration of an annuity contract resulting in incorrect payments being made to an annuitant, in violation of MN Statutes.

    - **Disposition:** The MN COC and SBL entered into a Consent Order wherein SBL agreed to an informal disposition of the matter without a hearing and paid a civil penalty of $2,500.

  - **Details #5:**

    - **Entity Name:** Security Benefit Life Insurance Company (SBL)

    - **Action Title:** Consent Order

    - **Action Date:** 11/30/2005

    - **Court/Body Name and Location:** State of Nevada Division of Insurance (NDI)

    - **Action Description:** SBL failed to timely file an Annual Certification of Advertising as required by NDI Regulations.

    - **Disposition:** SBL consented to a fine of $500 to settle the cause.

  - **Details #6:**

    - **Entity Name:** Security Benefit Life Insurance Company (SBL)

    - **Action Title:** Statutory Penalty

    - **Action Date:** 01/31/2007

    - **Court/Body Name and Location:** Commonwealth of Virginia Commissioner of Insurance (VCI)

    - **Action Description:** SBL failed to timely pay agent appointment fees pursuant to VCI Regulations.

    - **Disposition:** The VCI assessed a statutory penalty in the amount of $3,550 against SBL.

  - **Details #7:**

    - **Entity Name:** Security Benefit Life Insurance Company (SBL)

    - **Action Title:** Case No. C109-2006-68675

    - **Action Date:** 04/04/2006

    - **Court/Body Name and Location:** Alabama Department of Insurance (ADI)

    - **Action Description:** On 4/4/2006, the ADI entered an Order to Show Cause against SBL regarding its failure to pay an invoice for agent appointment fees dated 1/2/2006. SBL paid outstanding invoice on 4/13/2006, and remitted a letter to the ADI explaining its non-payment was not a willful violation of ADI Regulations.

    - **Disposition:** On 5/17/2006, the ADI entered an Order Lifting Order to Show Cause and Settlement Agreement. SBL consented to a $500 fine and agreed to promptly pay invoices for the continuation of producer appointments in the future.

  - **Details #8:**

    - **Entity Name:** Security Distributors, LLC

    - **Action Title:** In Re: Security Distributors, LLC - 000

    - **Action Date:** 07/26/2017

    - **Court/Body Name and Location:** Louisiana Department of Insruance

    - **Action Description:** Security Distributors inadvertently answered no to the regulatory action question on the Louisiana agency license application and thus failed to disclose a previously settled FINRA matter.

    - **Disposition:** Agreement & Consent to $250 Fine.

  - **Details #9:**

    - **Entity Name:** Security Distributors, LLC

    - **Action Title:** State of Oklahoma, ex rel. John D Doak, Insurance Commissioner

    - **Action Date:** 05/09/2017

    - **Court/Body Name and Location:** Oklahoma Insurance Department

    - **Action Description:** Security Distributors inadvertently answered no to the regulatory action question on the Oklahoma agency license application and thus failed to disclose a previously settled FINRA action.

    - **Disposition:** Consent to Censure and Fine of $200

  - **Details #10:**

    - **Entity Name:** SE2, LLC

    - **Action Title:** SE2, LLC Administrative Fine & Consent to Fine

    - **Action Date:** 05/12/2017

    - **Court/Body Name and Location:** Nevada Division of Insurance

    - **Action Description:** It was alleged that SE2, LLC did not file its annual report with the Nevada Division of Insurance within 90 days after the fiscal year end as is required by NV Third Party Administrator statutes.

    - **Disposition:** SE2, LLC entered into an agreement and consented to a fine in the amount of $500.

  - **Details #11:**

    - **Entity Name:** SE2, LLC

    - **Action Title:** SE2, LLC Administrative Fine

    - **Action Date:** 12/09/2021

    - **Court/Body Name and Location:** Kansas Insurance Department

    - **Action Description:** It was alleged that SE2, LLC did not file its annual report with the Kansas Insurance Department on its due date as is required by the KS Third Party Administrator statutes.

    - **Disposition:** SE2, LLC consented to a fine in the amount of $1,000.

  - **Details #12:**

    - **Entity Name:** Security Distributors, Inc. (SDI)

    - **Action Title:** Administrative Fine and Consent to Fine

    - **Action Date:** 07/02/1974

    - **Court/Body Name and Location:** AG of State of New York, Bureau of Securities

    - **Action Description:** On July 2, 1974, the Attorney General of the State of New York, Bureau of Securities issued a cease and desist/injunction for an alleged failure to file renewal of the broker/dealer statements pursuant to the General Business Laws of the State of New York.

    - **Disposition:** A fine of $4,000 was levied and paid on April 13, 1978.

  - **Details #13:**

    - **Entity Name:** Security Benefit Life Insurance Company (SBL)

    - **Action Title:** Administrative Fine

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

    - **Court/Body Name and Location:** Kansas Insurance Department

    - **Action Description:** In May 2014, the Kansas Insurance Department issued a summary order to Security Benefit Life Insurance Company and imposed a fine of $1,000 for three errors for untimely responses under K.A.R. 40-1-34, Section 6(B) to the Kansas Insurance Department during the investigations of complaints.

    - **Disposition:** In May 2014, the Kansas Insurance Department issued a summary order to Security Benefit Life Insurance Company and imposed a fine of $1,000.

  - **Details #14:**

    - **Entity Name:** Security Benefit Life Insurance Company (SBL)

    - **Action Title:** Administrative Fine

    - **Action Date:** 09/30/2016

    - **Court/Body Name and Location:** Connecticut Insurance Department

    - **Action Description:** In September 2016, the Connecticut Insurance Department fined Security Benefit Life Insurance Company $10,500 for violations described in the Market Conduct Report and Stipulation and Consent Order.

    - **Disposition:** Fine was paid and not further action was taken by the Connecticut Insurance Department.

  - **Details #15:**

    - **Entity Name:** Security Benefit Life Insurance Company (SBL)

    - **Action Title:** Administrative Fine

    - **Action Date:** 06/08/2018

    - **Court/Body Name and Location:** Michigan Department of Insurance

    - **Action Description:** On June 8, 2018, Security Benefit Life Insurance Company was fined $5,000 by the Michigan Department of Insurance and Financial Services for failure to comply with Section 500.4037(b) of the Code.

    - **Disposition:** The Michigan Order was executed on June 8, 2018, and Michigan acknowledged receipt of the payment of $5,000 on June 15, 2018.

  - **Details #16:**

    - **Entity Name:** Security Benefit Life Insurance Company (SBL)

    - **Action Title:** Administrative Fine

    - **Action Date:** 10/16/2018

    - **Court/Body Name and Location:** Delaware Department of Insurance

    - **Action Description:** Security Benefit Life Insurance Company was fined $121,500 by the Delaware Department of Insurance for various compliance exceptions noted during their market conduct exam for the period January 1, 2014 through December 31, 2016.

    - **Disposition:** Fine was paid and no further action was taken by Delaware Department of Insurance.

  - **Details #17:**

    - **Entity Name:** Security Benefit Life Insurance Company (SBL)

    - **Action Title:** Administrative fine

    - **Action Date:** 10/29/2021

    - **Court/Body Name and Location:** Delaware Department of Insurance

    - **Action Description:** Stipulation and consent order entered with a fine of $55,000 resulting from miscellaneous examination findings in a 2020 market conduct exam conducted by the Delaware Department of Insurance

    - **Disposition:** Fine was paid and not further action was taken by the Delaware Department of Insurance.

  - **Details #18:**

    - **Entity Name:** SE2, LLC

    - **Action Title:** Administrative Fine

    - **Action Date:** 08/08/2023

    - **Court/Body Name and Location:** Kansas Insurance Department

    - **Action Description:** SE2, LLC's resident state Kansas assessed a late filing penalty for failure to timely submit the 2023 Annual report due 07/01/2023.

    - **Disposition:** SE2, LLC consented to a fine in the amount of $1,000.

  - **Details #19:**

    - **Entity Name:** SE2, LLC

    - **Action Title:** Administrative fine

    - **Action Date:** 09/20/2023

    - **Court/Body Name and Location:** Idaho Department of Insurance

    - **Action Description:** Idaho assessed a late filing penalty on 09/20/2023

    - **Disposition:** The fine of $1725 was paid, and the license renewed successfully.

- **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:** SE2, LLC (formerly known as SE2, Inc.)

    - **Action Title:** TPA fees not paid

    - **Action Date:** 10/05/2015

    - **Court/Body Name and Location:** Utah Insurance Department

    - **Action Description:** SE2, LLC (formerly known as SE2, Inc.) received a notice dated October 5, 2015 from the Utah Insurance Department notifying SE2 that its Third Party Administrator was inactivated on September 30, 2015 for failure to pay the applicable renewal fees.

    - **Disposition:** The fees were paid and the license was reinstated on October 13, 2015 and is currently Active.

  - **Details #2:**

    - **Entity Name:** SE2, LLC

    - **Action Title:** TPA License not renewed

    - **Action Date:** 09/30/2022

    - **Court/Body Name and Location:** Oklahoma Insurance Department

    - **Action Description:** SE2, LLC received a notice dated October 20, 2022 from the Oklahoma Insurance Department notifying SE2 that its Third Party Administrator was inactivated on September 30, 2022 for failure to timely renew our Annual report.

    - **Disposition:** The License was renewed and successfully re-instated on 11/14/2022

  - **Details #3:**

    - **Entity Name:** SE2, LLC

    - **Action Title:** TPA License late renewal

    - **Action Date:** 07/01/2023

    - **Court/Body Name and Location:** Ohio Department of insurance

    - **Action Description:** Ohio suspended SE2,LLC's TPA license for failure to timely file our 2023 Annual report due 07/01/2023.

    - **Disposition:** The License was renewed and successfully re-instated

- **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:** Security Distributors, LLC

    - **Action Title:** Notice of Acceptance of Letter of Acceptance, Waiver and Consent

    - **Action Date:** 09/28/2016

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

    - **Action Description:** For approximately 11 months, Security Distributors relied on an exemption to SEC Rule 15c3-3 without satisfying the terms of that exemption, which also constituted a violation of FINRA Rule 2010.

    - **Disposition:** Acceptance, Waiver & Consent, censure and $20,000 fine.

- **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:** Robin Alonso

**Title:** Chief Compliance Officer and Chief Privacy Officer

**Date:** 03/03/2026

**Phone Number:** 818-825-8970