Form TA-1 Svp4u Securities, Inc.

Registration of Transfer Agent

Published: 2019-04-17 13:04:19
Submitted: 2019-04-16
primary_doc.html


TA-1 : Filer Information

Form Version X0405
1(a). Filer CIK:
1(b). Filer CCC:
********
1(c). Is this a LIVE or TEST submission? radio button checked  Live  radio button unchecked  Test
1(d). Would you like a Return Copy? checkbox unchecked  Yes 
1(e). Is this filing an amendment to a previous filing? checkbox unchecked  Yes 
1(e)(i). File Number:

Submission Contact Information

The registrant may provide a single e-mail address for contact purposes.
1(f)(i). Contact Name:
1(f)(ii). Contact Phone Number:
1(f)(iii). Contact E-Mail Address:

Notification Information

The registrant may provide additional e-mail addresses for those persons the filer would like to receive notification e-mails regarding the filing.
1(g). Notification E-mail Address:

TA-1 : Registrant Information

2. Appropriate regulatory agency (check one):
radio button checked   Securities and Exchange Commission   radio button unchecked   Federal Deposit Insurance Corporation   radio button unchecked   Comptroller of the Currency  
3(a). Full Name of Registrant:
SVP4U SECURITIES, INC.
3(a)(i). Previous name, if being amended:
3(b). Financial Industry Number (FINS) number:
363267

3(c). Address of principal office where transfer agent activities are, or will be, performed:

3(c)(i). Address 1
78 SW 7TH ST
3(c)(ii). Address 2
STE 500
3(c)(iii). City
Miami
3(c)(iv). State or Country
FLORIDA
3(c)(v). Postal Code
33130
3(d). Is Mailing address different from response to Question 3c? If "yes" provide address(es): radio button unchecked  Yes  radio button checked  No
3(e). Telephone Number (Include Area Code)
8509008786
4. Does Registrant conduct, or will it conduct, transfer agent activities at any location other than that given in Questions 3(c) above? If "Yes" provide address (es): radio button unchecked  Yes  radio button checked  No
5. Does registrant act, or will it act, as a transfer agent solely for its own securities, and/or securities of an affiliate(s)? radio button unchecked  Yes  radio button checked  No
6. Has registrant, as a named transfer agent, engaged, or will it engage, a service company to perform any transfer agent functions? radio button unchecked  Yes  radio button checked  No
7. Has registrant been engaged, or will it be engaged as a service company by a named transfer agent to perform transfer agent functions? radio button unchecked  Yes  radio button checked  No

TA-1 : Independent, Non-Issuer Registrant Information

Completion of Question 8 on this form is required by all independent, non-issuer registrants whose appropriate regulatory authority is the Securities and Exchange Commission. Those registrants who are not required to complete Question 8 should select "Not Applicable".

8. Is registrant a:
Corporation

Section for Initial Registration and for Amendments Reporting Additional Persons.

corporation or partner information Realated to item 8 Record: 1
8(a)(i). Full Name
Rostyslav Sipakov
8(a)(ii). Relationship Start Date
04/02/2019
8(a)(iii). Title or Status
President and Chief Executive Officer
8(a)(iv). Ownership Code
NA
8(a)(v). Control Person checkbox checked  Yes 
corporation or partner information Realated to item 8 Record: 2
8(a)(i). Full Name
Peter Kuzmenko
8(a)(ii). Relationship Start Date
04/02/2019
8(a)(iii). Title or Status
VP and Regional Director for Europe
8(a)(iv). Ownership Code
NA
8(a)(v). Control Person checkbox checked  Yes 
corporation or partner information Realated to item 8 Record: 3
8(a)(i). Full Name
Dmytro Varavin
8(a)(ii). Relationship Start Date
04/02/2019
8(a)(iii). Title or Status
Secretary and Chief Compliance Officer
8(a)(iv). Ownership Code
NA
8(a)(v). Control Person checkbox checked  Yes 
corporation or partner information Realated to item 8 Record: 4
8(a)(i). Full Name
SVP4U PUBLIC BENEFIT CORPORATION
8(a)(ii). Relationship Start Date
04/02/2019
8(a)(iii). Title or Status
Shareholder
8(a)(iv). Ownership Code
E
8(a)(v). Control Person checkbox checked  Yes 

9. Does any person or entity not named in the answer to Question 8:

9(a). directly or indirectly, through agreement or otherwise exercise or have the power to exercise control over the management or policies of applicant, or;…. radio button unchecked  Yes  radio button checked  No
9(b). wholly or partially finance the business of the applicant, directly or indirectly, in any manner other than by a public offering of securities made pursuant to the Securities Act of 1933 or by credit extended in the ordinary course of business by suppliers, banks and others?….. radio button unchecked  Yes  radio button checked  No

TA-1 : 10. Applicant and Control Affliate Disciplinary History

The following definitions apply for purposes of answering this Question 10 Control Affliate -- An individual or firm that directly or indirectly controls, is under common control with , or is controlled by applicant. Included are any employees identified in 8(a), 8(b), 8 (c) of this form as exercising control. Excluded are any employees who perform solely clerical, administrative support of similar functions, or who, regardless of title, perform no executive duties or have no senior policy making authority. Investment or investment related - Pertaining to securities, commodities, banking, insurance, or real estate (including, but not limited to, acting as or being associated with a broker dealer, investment company, investment adviser, futures sponsor, bank, or savings and loan association). Involved - Doing an act of aiding, abetting, counseling, commanding, inducing, conspiring with or failing reasonably to supervise another in doing an act.

10(a). In the past ten years has the applicant or a control affiliate been convicted of or plead guilty or nolo contender ("no contest") to:

10(a)(1). a felony or misdemeanor involving: investments or an investment-related business, fraud, false statements or omissions, wrongful taking of property, or bribery, forgery, counterfeiting, or extortion? radio button unchecked  Yes  radio button checked  No
10(a)(2). any other felony? radio button unchecked  Yes  radio button checked  No
10(b). Has any court in the past ten years:
10(b)(1). enjoined the applicant or a control affiliate in connection with any investment-related activity? radio button unchecked  Yes  radio button checked  No
10(b)(2). found that the applicant or control affiliate was involved in a violation of investment-related statutes or regulations? radio button unchecked  Yes  radio button checked  No
10 (c). Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
10(c)(1). found the applicant or control affiliate to have made a false statement or omission? radio button unchecked  Yes  radio button checked  No
10(c)(2). found the applicant or control affiliate to have been involved in a violation of its regulation or statutes? radio button unchecked  Yes  radio button checked  No
10(c)(3). found the applicant or control affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted? radio button unchecked  Yes  radio button checked  No
10(c)(4). entered an order denying, suspending or revoking the applicant’s or control affiliate’s registration or otherwise disciplined it by restricting its activities? radio button unchecked  Yes  radio button checked  No
10(d). Has any other Federal regulatory agency or any state regulatory agency :
10(d)(1). ever found the applicant or control affiliate to have made a false statement or omission or to have been dishonest, unfair, or unethical? radio button unchecked  Yes  radio button checked  No
10(d)(2). ever found the applicant or control affiliate to have been involved in a violation of investment-related regulations or statutes? radio button unchecked  Yes  radio button checked  No
10(d)(3). ever found the applicant or control affiliate to have been a cause of an investment-related business having its authorization to do business Denied, suspended, revoked or restricted? radio button unchecked  Yes  radio button checked  No
10(d)(4). in the past ten years entered an order against the applicant or control affiliate in connection with investment-related activity? radio button unchecked  Yes  radio button checked  No
10(d)(5). ever denied, suspended, or revoked applicant’s or control affiliate’s registration or license, or prevented it from associating with an investment-related business, or otherwise disciplined it by restricting its activities? radio button unchecked  Yes  radio button checked  No
10(d)(6). ever revoked or suspended the applicant’s or a control affiliate’s license as an attorney or accountant? radio button unchecked  Yes  radio button checked  No
10(e). Has any self-regulatory organization or commodities exchange ever:
10(e)(1). found the applicant or a control affiliate to have made a false statement or omission? radio button unchecked  Yes  radio button checked  No
10(e)(2). found the applicant or a control affiliate to have been involved in a violation of its rules? radio button unchecked  Yes  radio button checked  No
10(e)(3). found the applicant or a control affiliate to have been the cause of an investment-related business losing its authorization to do business? radio button unchecked  Yes  radio button checked  No
10(e)(4). disciplined the applicant or a control affiliate by expelling or suspending it from membership, by barring or suspending its association with other members, or by otherwise restricting its activities? radio button unchecked  Yes  radio button checked  No
10(f). Has any foreign government, court, regulatory agency or exchange ever entered an order against the applicant or a control affiliate related to investments or fraud? radio button unchecked  Yes  radio button checked  No
10(g). Is the applicant or a control affiliate now the subject of a proceeding that could result in a yes answer for questions 10(a) – 10(f) ? radio button unchecked  Yes  radio button checked  No
10(h). Has a bonding company denied, paid out on, or revoked a bond for the applicant or a control affiliate? radio button unchecked  Yes  radio button checked  No
10(i). Does the applicant or a control affiliate have any unsatisfied judgments or liens against it? radio button unchecked  Yes  radio button checked  No

TA-1 : Signature

ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL CRIMINAL VIOLATIONS. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a) SIGNATURE: The registrant submitting this form, and as required, the SEC supplement and Schedules A-D, And the executing official hereby represent that all the information contained herein is true, correct and complete.
11(a). Signature of Official responsible for Form:
/s/ Rostyslav Sipakov
11(b). Telephone Number:
8509008786
11(c). Title of Signing Officer:
President and CEO
11(d). Date Signed (Month/Day/Year):
04/16/2019
primary_doc.xml
Schema Version:
X0405

Header Data

Submission Type
TA-1

Filer Info

Filer Credentials

Cik
0001773685
Ccc
XXXXXXXX
Flags Return Copy Flag
false
Live Test Flag
LIVE

Form Data

Registrant

Regulatory Agency
SEC
Entity Name
SVP4U SECURITIES, INC.
Fins Number
363267

Principal Office Address

Street1
78 SW 7TH ST
Street2
STE 500
City
Miami
State Or Country
FL
Zip Code
33130
Different Mailing Address
N
Telephone Number
8509008786
Conduct Business In Other Locations
N
Self Transfer Agent
N
Engaged Service Company
N
Engaged As Service Company
N

Independent Registrant

Registrant Type
Corporation

Corporation Partnership Data

Entity Name
Rostyslav Sipakov
Relationship Start Date
04/02/2019
Title Or Status
President and Chief Executive Officer
Ownership Code
NA
Control Person
true
Entity Name
Peter Kuzmenko
Relationship Start Date
04/02/2019
Title Or Status
VP and Regional Director for Europe
Ownership Code
NA
Control Person
true
Entity Name
Dmytro Varavin
Relationship Start Date
04/02/2019
Title Or Status
Secretary and Chief Compliance Officer
Ownership Code
NA
Control Person
true
Entity Name
SVP4U PUBLIC BENEFIT CORPORATION
Relationship Start Date
04/02/2019
Title Or Status
Shareholder
Ownership Code
E
Control Person
true
Other Control Management Other Entity
N
Other Control Finance Other Entity
N

Disciplinary History

Felony Or Misdemeanor Involved
N
Other Felony Involved
N
Enjoined Investment Related Activity Involved
N
Violation Of Investment Related Regulation Involved
N
False Statement Or Omission Involved
N
Violation Of Regulations Involved
N
Authorization Denied Or Suspended Involved
N
Registration Denied Or Suspended Involved
N

Federal Or State Regulatory Agency

Fsr False Statement Or Omission Involved
N
Fsr Violation Of Investment Related Regulation Involved
N
Fsr Authorization Denied Or Suspended Involved
N
Fsr Found Order Against Applicant Involved
N
Fsr Registration Denied Or Suspended Involved
N
Fsr Revoked Suspended License Involved
N

Self Regulatory Agency

Sra False Statement Or Omission Involved
N
Sra Violation Of Rules Involved
N
Sra Authorization Denied Or Suspended Involved
N
Sra Revoked Suspended License Involved
N
Foreign Agency Involved
N
Subject Of Proceedings Involved
N
Revoked Bond Involved
N
Unsatisfied Judgements Or Liens Involved
N

Signature

Signature Name
/s/ Rostyslav Sipakov
Signature Phone Number
8509008786
Signature Title
President and CEO
Signature Date
04/16/2019
Additional Files
FileSequenceDescriptionTypeSize
0001773685-19-000001.txt   Complete submission text file   6741

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SEC CFR Title 17 of the Code of Federal Regulations.