Base
NVOCC

TA BROKERAGE LLC

Trade name: TAB

HAZELWOOD, MO, UNITED STATES

Cross-Source Intelligence

Arrivals (12 mo)

0

0 active ports

Active Ports

0

Distinct US ports with vessel activity

Compliance

1 hit

6 lists screened

Data compiled from FMC Licensed Carriers & OTIs, OpenSanctions, OFAC SDN, BIS Consolidated Screening List · As of 2026-04-26 · Updates monthly

Screening Alert

This company has a potential match on 1 sanctions or screening list. This may be a false positive — verify against official records.

Sanctions & Compliance Screening

OFAC Specially Designated Nationals (SDN)

No matches found

Search of the OFAC SDN list for “TA BROKERAGE LLC” returned no matches.

BIS Consolidated Screening List (CSL)

No matches found

Search of the BIS CSL for “TA BROKERAGE LLC” returned no matches. This covers the BIS Entity List, Denied Persons List, OFAC SDN, ITAR Debarred, and 10 other U.S. export control lists.

SEC Filings (100)

000-54140
2012-08-22

SEC filing

View on SEC.gov →
084-06522
2022-07-25

SEC filing

View on SEC.gov →
084-06522
2022-10-24

SEC filing

View on SEC.gov →
008-70700
2026-02-27

PUBLIC ANNUAL REPORTS

View on SEC.gov →
084-06522
2026-02-10

SEC filing

View on SEC.gov →
084-06522
2022-03-29

SEC filing

View on SEC.gov →
084-06522
2024-07-31

SEC filing

View on SEC.gov →
084-06522
2025-04-04

SEC filing

View on SEC.gov →
084-06522
2019-08-23

SEC filing

View on SEC.gov →
000-54623
2012-08-08

SEC filing

View on SEC.gov →
084-06522
2019-12-19

SEC filing

View on SEC.gov →
001-35674333-148153
2023-08-04

10-Q

View on SEC.gov →
084-06522
2020-01-27

SEC filing

View on SEC.gov →
811-04556
2006-12-22

TRANSAMERICA IDEX MUTUAL FUNDS

View on SEC.gov →
811-04556
2009-01-07

PRELIMINARY INFORMATION STATEMENT

View on SEC.gov →
811-04556
2008-02-27

SCHD 14C - TA IDEX MARSICO GROWTH FUND AND TA IDEX MARSICO INTERNATIONAL GROWTH

View on SEC.gov →
811-04556
2009-01-20

DEF 14C

View on SEC.gov →
333-129061
2005-12-21

AMENDMENT TO FORM S-1

View on SEC.gov →
084-06838
2024-07-08

SEC filing

View on SEC.gov →
000-22163
2002-04-08

FORM 425

View on SEC.gov →
084-06838
2023-02-13

SEC filing

View on SEC.gov →
811-04556
2006-09-12

TRANSAMERICA IDEX MUTUAL FUNDS/TA IDEX TEMPLETON GREAT COMPANIES

View on SEC.gov →
084-06838
2022-03-30

SEC filing

View on SEC.gov →
811-04556
2006-08-25

TRANSAMERICA IDEX MUTUAL FUNDS/TA IDEX TEMPLETON GREAT COMPANIES

View on SEC.gov →
811-04556
2006-08-25

TRANSAMERICA IDEX MUTUAL FUNDS//TA IDEX GREAT COMPANIES-TECHNOLOGY

View on SEC.gov →
084-06838
2023-08-11

SEC filing

View on SEC.gov →
333-129061
2005-10-17

FORM S-1

View on SEC.gov →
811-04556
2006-09-12

TRANSAMERICA IDEX MUTUAL FUNDS//TA IDEX GREAT COMPANIES-TECHNOLOGY

View on SEC.gov →
084-06838
2025-02-27

SEC filing

View on SEC.gov →
084-06522
2016-05-02

SEC filing

View on SEC.gov →
084-06838
2025-12-11

SEC filing

View on SEC.gov →
033-02659
2005-11-15

TA IDEX MUTUAL FUNDS

View on SEC.gov →
084-06838
2025-04-23

SEC filing

View on SEC.gov →
084-06838
2026-02-02

SEC filing

View on SEC.gov →
084-06838
2025-05-16

SEC filing

View on SEC.gov →
811-04556
2007-06-26

N-CSRS

View on SEC.gov →
033-02659
2005-11-16

SEC filing

View on SEC.gov →
033-02659
2004-03-01

TRANSAMERICA IDEX MUTUAL FUNDS

View on SEC.gov →
084-06838
2026-03-13

SEC filing

View on SEC.gov →
033-02659
2004-12-23

TRANSAMERICA IDEX MUTUAL FUNDS

View on SEC.gov →
811-04556
2004-03-09

TRANSAMERICA IDEX MUTUAL FUNDS

View on SEC.gov →
033-02659
2006-10-27

TRANSAMERICA IDEX MUTUAL FUNDS

View on SEC.gov →
811-04556
2004-04-06

TRANSAMERICA IDEX MUTUAL FUNDS

View on SEC.gov →
033-02659
2007-10-26

TRANSAMERICA IDEX MUTUAL FUNDS

View on SEC.gov →
033-02659
2007-08-28

TRANSAMERICA IDEX MUTUAL FUNDS

View on SEC.gov →
005-78754
2022-10-03

EXHIBIT 99.(A)(1)(III)

View on SEC.gov →
033-02659
2007-11-09

TRANSAMERICA IDEX MUTUAL FUNDS

View on SEC.gov →
033-02659
2007-11-02

TRANSAMERICA IDEX MUTUAL FUNDS

View on SEC.gov →
033-02659
2006-05-18

T/A IDEX MUTUAL FUNDS

View on SEC.gov →
811-04556
2005-12-30

TRANSAMERICA IDEX MUTUAL FUNDS

View on SEC.gov →
033-02659
2007-11-06

TRANSAMERICA IDEX MUTUAL FUNDS

View on SEC.gov →
033-02659
2005-11-21

TA IDEX MUTUAL FUNDS

View on SEC.gov →
033-02659
2006-10-18

TRANSAMERICA IDEX MUTUAL FUNDS

View on SEC.gov →
005-78603
2022-10-03

EXHIBIT 99.(A)(1)(III)

View on SEC.gov →
033-02659
2006-03-07

TRANSAMERICA IDEX MUTUAL FUNDS

View on SEC.gov →
033-02659
2006-06-07

TRANSAMERICA IDEX MUTUAL FUNDS

View on SEC.gov →
033-02659
2004-12-17

TRANSAMERICA IDEX MUTUAL FUNDS

View on SEC.gov →
084-06522
2016-09-06

SEC filing

View on SEC.gov →
001-34533
2019-04-16

EXHIBIT 99.1 (PRESS RELEASE DATED APRIL 15, 2019)

View on SEC.gov →
084-06522
2015-01-16

SEC filing

View on SEC.gov →
033-02659
2004-04-07

TRANSAMERICA IDEX MUTUAL FUNDS

View on SEC.gov →
033-02659
2004-11-03

TRANSAMERICA IDEX MUTUAL FUNDS

View on SEC.gov →
084-06522
2015-12-22

SEC filing

View on SEC.gov →
033-02659
2005-02-25

TRANSAMERICA IDEX MUTUAL FUNDS

View on SEC.gov →
033-02659
2006-10-26

TRANSAMERICA IDEX MUTUAL FUNDS

View on SEC.gov →
084-06522
2016-03-15

SEC filing

View on SEC.gov →
333-112354
2004-02-20

424B2

View on SEC.gov →
001-33274
2020-05-11

DEFA14A

View on SEC.gov →
033-02659
2004-01-02

IDEX MUTUAL FUNDS

View on SEC.gov →
033-02659
2006-08-24

TRANSAMERICA/IDEX MUTUAL FUNDS

View on SEC.gov →
000-53276
2017-02-13

SETTLEMENT AND RELEASE AGREEMENT BETWEEN GHS INVESTMENTS, LLC AND SIMLATUS CORPORATION

View on SEC.gov →
033-02659
2004-11-10

TRANSAMERICA IDEX MUTUAL FUNDS - STATEMENT OF ADDITIONAL INFORMATION

View on SEC.gov →
811-04556
2006-08-01

TRANSAMERICA IDEX MUTUAL FUNDS

View on SEC.gov →
005-78754
2024-03-22

EXHIBIT 99.(A)(1)(III)

View on SEC.gov →
005-78754
2024-09-30

EXHIBIT 99.(A)(1)(III)

View on SEC.gov →
811-04556
2004-04-07

TRANSAMERICA IDEX MUTUAL FUNDS

View on SEC.gov →
811-22235
2024-08-16

CODE OF ETHICS OF AQR CAPITAL MANAGEMENT, LLC AND ARBITRAGE, LLC

View on SEC.gov →
005-78754
2024-12-16

EXHIBIT 99.(A)(1)(III)

View on SEC.gov →
811-05518
2004-08-06

RBB FUND INC

View on SEC.gov →
005-78754
2026-03-20

EXHIBIT 99.(A)(1)(III)

View on SEC.gov →
333-183197
2013-02-12

FORM 424B3

View on SEC.gov →
033-02659
2004-12-23

TRANSAMERICA IDEX MUTUAL FUNDS

View on SEC.gov →
005-78603
2025-09-30

EXHIBIT 99.(A)(1)(III)

View on SEC.gov →
005-78603
2024-03-22

EXHIBIT 99.(A)(1)(III)

View on SEC.gov →
005-78754
2025-03-21

EXHIBIT 99.(A)(1)(III)

View on SEC.gov →
033-02659
2005-03-07

TRANSAMERICA IDEX MUTUAL FUNDS

View on SEC.gov →
033-02659
2007-12-11

485APOS

View on SEC.gov →
005-78603
2023-09-29

EXHIBIT 99.(A)(1)(III)

View on SEC.gov →
033-02659
2005-11-16

TA IDEX MUTUAL FUNDS

View on SEC.gov →
333-112354
2004-02-13

424B5

View on SEC.gov →
005-78603
2024-09-30

EXHIBIT 99.(A)(1)(III)

View on SEC.gov →
005-78603
2026-03-20

EXHIBIT 99.(A)(1)(III)

View on SEC.gov →
005-78754
2023-03-22

EXHIBIT 99.(A)(1)(III)

View on SEC.gov →
005-78754
2025-12-16

EXHIBIT 99.(A)(1)(III)

View on SEC.gov →
005-78754
2023-06-21

EXHIBIT 99.(A)(1)(III)

View on SEC.gov →
005-78603
2025-03-21

EXHIBIT 99.(A)(1)(III)

View on SEC.gov →
000-29235
2005-11-14

FORM 10-Q

View on SEC.gov →
005-78603
2023-03-22

EXHIBIT 99.(A)(1)(III)

View on SEC.gov →
005-78754
2023-12-15

EXHIBIT (A)(1)(III)

View on SEC.gov →
005-78754
2024-06-21

EXHIBIT 99.(A)(1)(III)

View on SEC.gov →

Source: SEC EDGAR Full-Text Search

Registry Details

FMC OTI Number
035316
License Status
Active
Bond Status
Bonded — UNITED STATES FIRE INSURANCE COMPANY
Address
4824 PARK 370 BOULEVARD, HAZELWOOD, MO, UNITED STATES
Classification
NVOCC

Compliance Screening

No sanctions match

No exact name match found in OpenSanctions global database. This is not a guarantee of compliance — always verify through official channels.

Source: OpenSanctions (OFAC SDN, EU, UN, and 40+ additional lists)

Screening Tools

Search the Consolidated Screening List (BIS, OFAC, DDTC) and global sanctions lists.

Search Screening List
SHANGHAI JIASHUN SUPPLY CHAIN MANAGEMENT CO.,LTD.XINHUI JIAYUN(QINGDAO)SUPPLY CHAIN MANAGEMENT CO.,LTD.