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Alliancebernstein Investor Services Inc./TA – ‘TA-1/A’ on 3/7/24

On:  Thursday, 3/7/24, at 8:43am ET   ·   As of:  3/1/24   ·   Effective:  3/11/24   ·   Accession #:  733598-24-1   ·   File #:  84-01187

Previous ‘TA-1’:  ‘TA-1/A’ on 11/21/23   ·   Next & Latest:  ‘TA-1/A’ on 4/5/24

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  As Of               Filer                 Filing    For·On·As Docs:Size

 3/01/24  Alliancebernstein Investo… Inc/TA TA-1/A      3/11/24    1:8K

Amendment to Application for Registration by a Transfer Agent   —   Form TA-1

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: TA-1/A      Amendment to Application for Registration by a      HTML      8K 
                Transfer Agent -- primary_doc.xml/4.5


        

This ‘TA-1/A’ Document is an XML Data File that may be rendered in various formats:

  Form TA-1    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
XML Data rendering:  Amendment to Application for Registration by a Transfer Agent
 
                                                                                                                                                                                
<?xml version="1.0" encoding="windows-1252"?>
<edgarSubmission xmlns="http://www.sec.gov/edgar/ta/taonefiler">
<schemaVersion> X0405 </schemaVersion>
<headerData>
<submissionType> TA-1/A </submissionType>
<filerInfo>
<filer>
<filerCredentials>
<cik> 0000733598 </cik>
<ccc> XXXXXXXX </ccc>
</filerCredentials>
<fileNumber> 084-01187 </fileNumber>
</filer>
<flags>
<returnCopyFlag> true </returnCopyFlag>
</flags>
<liveTestFlag> LIVE </liveTestFlag>
</filerInfo>
</headerData>
<formData>
<registrant>
<regulatoryAgency> SEC </regulatoryAgency>
<entityName> ALLIANCEBERNSTEIN INVESTOR SERVICES INC /TA </entityName>
<previousEntityName> ALLIANCE FUND SERVICES INC /TA </previousEntityName>
<finsNumber> 407254 </finsNumber>
<principalOfficeAddress>
<street1> 8000 Interstate Hwy 10 West </street1>
<city> San Antonio </city>
<stateOrCountry> TX </stateOrCountry>
<zipCode> 78230 </zipCode>
</principalOfficeAddress>
<differentMailingAddress> N </differentMailingAddress>
<telephoneNumber> 210-384-6000 </telephoneNumber>
<conductBusinessInOtherLocations> Y </conductBusinessInOtherLocations>
<otherBusinessLocation>
<street1> 501 Commerce Street </street1>
<city> Nashville </city>
<stateOrCountry> TN </stateOrCountry>
<zipCode> 37203 </zipCode>
</otherBusinessLocation>
<selfTransferAgent> N </selfTransferAgent>
<engagedServiceCompany> N </engagedServiceCompany>
<engagedAsServiceCompany> N </engagedAsServiceCompany>
</registrant>
<independentRegistrant>
<registrantType> Corporation </registrantType>
<corporationPartnershipData>
<entityName> Peter G. Callahan </entityName>
<relationshipStartDate> 03/09/1987 </relationshipStartDate>
<titleOrStatus> SVP/Hd of ABIS & Retail Infrastruct Svc </titleOrStatus>
<ownershipCode> NA </ownershipCode>
<controlPerson> true </controlPerson>
</corporationPartnershipData>
<corporationPartnershipData>
<entityName> Mark R. Manley </entityName>
<relationshipStartDate> 05/21/1984 </relationshipStartDate>
<titleOrStatus> SVP/General Counsel & Corporate Sec. </titleOrStatus>
<ownershipCode> NA </ownershipCode>
<controlPerson> true </controlPerson>
</corporationPartnershipData>
<corporationPartnershipData>
<entityName> William R. Siemers </entityName>
<relationshipStartDate> 07/12/2004 </relationshipStartDate>
<titleOrStatus> SVP/Interim CFO </titleOrStatus>
<ownershipCode> NA </ownershipCode>
<controlPerson> true </controlPerson>
<relationshipEndDate> 02/29/2024 </relationshipEndDate>
</corporationPartnershipData>
<corporationPartnershipData>
<entityName> AllianceBernstein L.P. </entityName>
<relationshipStartDate> 11/16/1983 </relationshipStartDate>
<titleOrStatus> Corporate Parent </titleOrStatus>
<ownershipCode> E </ownershipCode>
<controlPerson> true </controlPerson>
</corporationPartnershipData>
<corporationPartnershipData>
<entityName> Thomas Simeone </entityName>
<relationshipStartDate> 08/30/2004 </relationshipStartDate>
<titleOrStatus> SVP/Controller and Chief Acct'ing Office </titleOrStatus>
<ownershipCode> NA </ownershipCode>
<controlPerson> true </controlPerson>
</corporationPartnershipData>
<corporationPartnershipData>
<entityName> Kyle DiGangi </entityName>
<relationshipStartDate> 02/04/2019 </relationshipStartDate>
<titleOrStatus> SVP/Global Head of Compliance </titleOrStatus>
<ownershipCode> NA </ownershipCode>
<controlPerson> true </controlPerson>
</corporationPartnershipData>
<corporationPartnershipData>
<entityName> Jackie Marks </entityName>
<relationshipStartDate> 03/01/2024 </relationshipStartDate>
<titleOrStatus> SVP/Chief Financial Officer </titleOrStatus>
<ownershipCode> NA </ownershipCode>
<controlPerson> true </controlPerson>
</corporationPartnershipData>
<otherControlManagement>
<otherEntity> Y </otherEntity>
<otherControlManagementDetails>
<entityName> AllianceBernstein Holding L.P. and Equitable Holdings, Inc. </entityName>
<agreementDescription> AllianceBernstein Investor Services, Inc. is a wholly-owned subsidiary of AllianceBernstein L.P., which in turn is owned by AllianceBernstein Holding L.P. and Equitable Holdings, Inc. </agreementDescription>
</otherControlManagementDetails>
</otherControlManagement>
<otherControlFinance>
<otherEntity> N </otherEntity>
</otherControlFinance>
</independentRegistrant>
<disciplinaryHistory>
<felonyOrMisdemeanor>
<involved> N </involved>
</felonyOrMisdemeanor>
<otherFelony>
<involved> N </involved>
</otherFelony>
<enjoinedInvestmentRelatedActivity>
<involved> N </involved>
</enjoinedInvestmentRelatedActivity>
<violationOfInvestmentRelatedRegulation>
<involved> N </involved>
</violationOfInvestmentRelatedRegulation>
<falseStatementOrOmission>
<involved> N </involved>
</falseStatementOrOmission>
<violationOfRegulations>
<involved> N </involved>
</violationOfRegulations>
<authorizationDeniedOrSuspended>
<involved> N </involved>
</authorizationDeniedOrSuspended>
<registrationDeniedOrSuspended>
<involved> N </involved>
</registrationDeniedOrSuspended>
<federalOrStateRegulatoryAgency>
<fsrFalseStatementOrOmission>
<involved> N </involved>
</fsrFalseStatementOrOmission>
<fsrViolationOfInvestmentRelatedRegulation>
<involved> N </involved>
</fsrViolationOfInvestmentRelatedRegulation>
<fsrAuthorizationDeniedOrSuspended>
<involved> N </involved>
</fsrAuthorizationDeniedOrSuspended>
<fsrFoundOrderAgainstApplicant>
<involved> N </involved>
</fsrFoundOrderAgainstApplicant>
<fsrRegistrationDeniedOrSuspended>
<involved> N </involved>
</fsrRegistrationDeniedOrSuspended>
<fsrRevokedSuspendedLicense>
<involved> N </involved>
</fsrRevokedSuspendedLicense>
</federalOrStateRegulatoryAgency>
<selfRegulatoryAgency>
<sraFalseStatementOrOmission>
<involved> N </involved>
</sraFalseStatementOrOmission>
<sraViolationOfRules>
<involved> N </involved>
</sraViolationOfRules>
<sraAuthorizationDeniedOrSuspended>
<involved> N </involved>
</sraAuthorizationDeniedOrSuspended>
<sraRevokedSuspendedLicense>
<involved> N </involved>
</sraRevokedSuspendedLicense>
</selfRegulatoryAgency>
<foreignAgency>
<involved> N </involved>
</foreignAgency>
<subjectOfProceedings>
<involved> N </involved>
</subjectOfProceedings>
<revokedBond>
<involved> N </involved>
</revokedBond>
<unsatisfiedJudgementsOrLiens>
<involved> N </involved>
</unsatisfiedJudgementsOrLiens>
</disciplinaryHistory>
<signature>
<signatureName> Melissa Guerra </signatureName>
<signaturePhoneNumber> 210-384-6044 </signaturePhoneNumber>
<signatureTitle> Assistant Director of Compliance </signatureTitle>
<signatureDate> 03/01/2024 </signatureDate>
</signature>
</formData>
</edgarSubmission>


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