WADDELL & REED SERVICES TA-1/A Registration as a transfer agent (amended)

Form TA-1 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM TA-1/A	OMB APPROVAL
FORM TA-1/A		OMB Number: 3235-0084 Estimated average burden hours per response: 1.5

TA-1/A : Filer Information

Form Version X0405

1(a). Filer CIK:	0000700533
1(b). Filer CCC:	********
1(c). Is this a LIVE or TEST submission?	Live Test
1(d). Would you like a Return Copy?	Yes

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/A : Registrant Information

2. Appropriate regulatory agency (check one): Securities and Exchange Commission Federal Deposit Insurance Corporation Comptroller of the Currency

3(a). Full Name of Registrant:	WADDELL & REED SERVICES Co (dba WI Services Company)/TA
3(a)(i). Previous name, if being amended:	WADDELL & REED SERVICES CO /TA
3(b). Financial Industry Number (FINS) number:	407916

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

3(c)(i). Address 1	6301 Glenwood
3(c)(ii). Address 2
3(c)(iii). City	Overland Park
3(c)(iv). State or Country	KANSAS
3(c)(v). Postal Code	66202
3(d). Is Mailing address different from response to Question 3c? If "yes" provide address(es):	Yes No
3(e). Telephone Number (Include Area Code)	913-236-2000
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):	Yes 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)?	Yes No
6. Has registrant, as a named transfer agent, engaged, or will it engage, a service company to perform any transfer agent functions?	Yes 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? Yes No

TA-1/A : 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 Related to item 8 Record: 1

8(a)(i). Full Name	Philip James Sanders
8(a)(ii). Relationship Start Date	08/01/2016
8(a)(iii). Title or Status	Director
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

corporation or partner information Related to item 8 Record: 2

8(a)(i). Full Name	Brent Kyle Bloss
8(a)(ii). Relationship Start Date	02/01/2004
8(a)(iii). Title or Status	Director, Senior VP, Chairman
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

corporation or partner information Related to item 8 Record: 3

8(a)(i). Full Name	Mark Patrick Buyle
8(a)(ii). Relationship Start Date	04/17/2018
8(a)(iii). Title or Status	Interim General Counsel
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	01/31/2019

corporation or partner information Related to item 8 Record: 4

8(a)(i). Full Name	Mark Steven Newman
8(a)(ii). Relationship Start Date	01/01/2018
8(a)(iii). Title or Status	President, Director
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

corporation or partner information Related to item 8 Record: 5

8(a)(i). Full Name	Waddell & Reed, Inc.
8(a)(ii). Relationship Start Date	12/01/1981
8(a)(iii). Title or Status	Direct Owner
8(a)(iv). Ownership Code	E
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

corporation or partner information Related to item 8 Record: 6

8(a)(i). Full Name	Waddell & Reed Financial Services, Inc.
8(a)(ii). Relationship Start Date	05/01/1993
8(a)(iii). Title or Status	Beneficial Owner
8(a)(iv). Ownership Code	E
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

corporation or partner information Related to item 8 Record: 7

8(a)(i). Full Name	Waddell & Reed Financial, Inc.
8(a)(ii). Relationship Start Date	07/01/1987
8(a)(iii). Title or Status	Beneficial Owner
8(a)(iv). Ownership Code	E
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

corporation or partner information Related to item 8 Record: 8

8(a)(i). Full Name	Benjamin Russell Clouse
8(a)(ii). Relationship Start Date	12/06/2018
8(a)(iii). Title or Status	Treasurer, Senior VP
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

corporation or partner information Related to item 8 Record: 9

8(a)(i). Full Name	Vedrana (NMN) Balta
8(a)(ii). Relationship Start Date	12/31/2018
8(a)(iii). Title or Status	Secretary
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

corporation or partner information Related to item 8 Record: 10

8(a)(i). Full Name	Jeffrey Paul Bennett
8(a)(ii). Relationship Start Date	01/01/2018
8(a)(iii). Title or Status	Secretary
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	12/31/2018

corporation or partner information Related to item 8 Record: 11

8(a)(i). Full Name	Yvonne Janene Devine
8(a)(ii). Relationship Start Date	02/23/2018
8(a)(iii). Title or Status	Treasurer
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	12/06/2018

corporation or partner information Related to item 8 Record: 12

8(a)(i). Full Name	Jeffrey Oren Clevenger
8(a)(ii). Relationship Start Date	01/31/2019
8(a)(iii). Title or Status	Chief Compliance Officer
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

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;…. Yes 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?….. Yes No

TA-1/A : 10. Applicant and Control Affiliate Disciplinary History

The following definitions apply for purposes of answering this Question 10

Control Affiliate	- 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 contendere ("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? Yes No

10(a)(2). any other felony? Yes 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?	Yes No

10(b)(2). found that the applicant or control affiliate was involved in a violation of investment-related statutes or regulations? Yes 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?	Yes No

10(c)(2). found the applicant or control affiliate to have been involved in a violation of its regulation or statutes? Yes No

Entity information Related to item 10(c)(2) Record: 1

10(c)(2)(i). The individuals named in the Action	Continental Investment Corporation, Waddell & Reed, Inc. and Kansas City Securities Corporation
10(c)(2)(ii). Title of Action	Continental Investment Corporation, et al.
10(c)(2)(iii). Date of Action	10/11/1972
10(c)(2)(iv). The Court or body taking the Action and its location	Securities and Exchange Commission
10(c)(2)(v). Description of the Action	Administrative Proceeding
10(c)(2)(vi). The disposition of the proceeding	Consent Order

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? Yes 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? Yes 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?	Yes No

Entity information Related to item 10(d)(1) Record: 1

10(d)(1)(i). The individuals named in the Action	Legend Equities Corporation
10(d)(1)(ii). Title of Action	In re: Legend Equities Corp. (2009-0308-s)
10(d)(1)(iii). Date of Action	09/24/2009
10(d)(1)(iv). The Court or body taking the Action and its location	New York State Department of Insurance
10(d)(1)(v). Description of the Action	Administrative Proceeding Regarding Insurance Agency License Renewal
10(d)(1)(vi). The disposition of the proceeding	Stipulation and Consent

10(d)(2). ever found the applicant or control affiliate to have been involved in a violation of investment-related regulations or statutes? Yes No

Entity information Related to item 10(d)(2) Record: 1

10(d)(2)(i). The individuals named in the Action	Waddell & Reed, Inc.
10(d)(2)(ii). Title of Action	In the matter of Waddell & Reed, Inc. (ST-99-2948-S)
10(d)(2)(iii). Date of Action	05/12/1999
10(d)(2)(iv). The Court or body taking the Action and its location	Connecticut Department of Banking
10(d)(2)(v). Description of the Action	Stipulation and Consent
10(d)(2)(vi). The disposition of the proceeding	Stipulation and Consent

Entity information Related to item 10(d)(2) Record: 2

10(d)(2)(i). The individuals named in the Action	Waddell & Reed, Inc.
10(d)(2)(ii). Title of Action	In the matter of Waddell & Reed, Inc. (2001 E 053)
10(d)(2)(iii). Date of Action	10/10/2001
10(d)(2)(iv). The Court or body taking the Action and its location	Kansas Securities Commissioner
10(d)(2)(v). Description of the Action	Administrative Proceeding
10(d)(2)(vi). The disposition of the proceeding	Stipulation and Consent Order

Entity information Related to item 10(d)(2) Record: 3

10(d)(2)(i). The individuals named in the Action	Waddell & Reed, Inc.
10(d)(2)(ii). Title of Action	In the matter of Waddell & Reed, Inc.
10(d)(2)(iii). Date of Action	07/24/2006
10(d)(2)(iv). The Court or body taking the Action and its location	Attorney General of the State of New York/Kansas Securities Commissioner
10(d)(2)(v). Description of the Action	Administrative Proceeding
10(d)(2)(vi). The disposition of the proceeding	Order

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? Yes No

10(d)(4). in the past ten years entered an order against the applicant or control affiliate in connection with investment-related activity? Yes No

Entity information Related to item 10(d)(4) Record: 1

10(d)(4)(i). The individuals named in the Action	Waddell & Reed, Inc.
10(d)(4)(ii). Title of Action	In the matter of Waddell & Reed, Inc. (2001E053)
10(d)(4)(iii). Date of Action	10/10/2001
10(d)(4)(iv). The Court or body taking the Action and its location	Kansas Securities Commissioner
10(d)(4)(v). Description of the Action	Administrative Proceeding
10(d)(4)(vi). The disposition of the proceeding	Stipulation and Consent Order

Entity information Related to item 10(d)(4) Record: 2

10(d)(4)(i). The individuals named in the Action	Waddell & Reed, Inc.
10(d)(4)(ii). Title of Action	In re: Waddell & Reed, Inc. and Scott Allan (3487-S-602)
10(d)(4)(iii). Date of Action	10/24/2002
10(d)(4)(iv). The Court or body taking the Action and its location	Florida Office of Financing Institutions and Securities Regulation
10(d)(4)(v). Description of the Action	Administrative Proceeding
10(d)(4)(vi). The disposition of the proceeding	Stipulation and Consent

Entity information Related to item 10(d)(4) Record: 3

10(d)(4)(i). The individuals named in the Action	Waddell & Reed, Inc.
10(d)(4)(ii). Title of Action	In the matter of Waddell & Reed, Inc. and W&R Insurance Agency
10(d)(4)(iii). Date of Action	03/25/2005
10(d)(4)(iv). The Court or body taking the Action and its location	Missouri Commissioner of Securities
10(d)(4)(v). Description of the Action	Summary Order of Suspension
10(d)(4)(vi). The disposition of the proceeding	Administrative Consent Order

Entity information Related to item 10(d)(4) Record: 4

10(d)(4)(i). The individuals named in the Action	Waddell & Reed, Inc.
10(d)(4)(ii). Title of Action	In the matter of Waddell & Reed, Inc.
10(d)(4)(iii). Date of Action	07/24/2006
10(d)(4)(iv). The Court or body taking the Action and its location	Attorney General of the State of New York/Kansas Securities Commissioner
10(d)(4)(v). Description of the Action	Administrative Proceeding
10(d)(4)(vi). The disposition of the proceeding	Assurance of discontinuance Pursuant to Executive Law SS63(15)/Stipulation for Consent Order

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? Yes No

Entity information Related to item 10(d)(5) Record: 1

10(d)(5)(i). The individuals named in the Action	Waddell & Reed, Inc.
10(d)(5)(ii). Title of Action	In the matter of Waddell & Reed, Inc. and W&R Insurance Agency
10(d)(5)(iii). Date of Action	03/25/2005
10(d)(5)(iv). The Court or body taking the Action and its location	Missouri Commissioner of Securities
10(d)(5)(v). Description of the Action	Summary order of Suspension
10(d)(5)(vi). The disposition of the proceeding	Administrative Consent Order

10(d)(6). ever revoked or suspended the applicant’s or a control affiliate’s license as an attorney or accountant? Yes 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? Yes No

10(e)(2). found the applicant or a control affiliate to have been involved in a violation of its rules? Yes No

Entity information Related to item 10(e)(2) Record: 1

10(e)(2)(i). The individuals named in the Action	Waddell & Reed, Inc.
10(e)(2)(ii). Title of Action	In the matter of Waddell & Reed, Inc. (2011029075101)
10(e)(2)(iii). Date of Action	01/15/2013
10(e)(2)(iv). The Court or body taking the Action and its location	FINRA
10(e)(2)(v). Description of the Action	Acceptance, Waiver and Consent
10(e)(2)(vi). The disposition of the proceeding	Acceptance, Waiver and Consent

Entity information Related to item 10(e)(2) Record: 2

10(e)(2)(i). The individuals named in the Action	Waddell & Reed, Inc.
10(e)(2)(ii). Title of Action	In the matter of Waddell & Reed, Inc. (CI1000007)
10(e)(2)(iii). Date of Action	04/13/2000
10(e)(2)(iv). The Court or body taking the Action and its location	NASD
10(e)(2)(v). Description of the Action	Acceptance, Waiver and Consent
10(e)(2)(vi). The disposition of the proceeding	Acceptance, Waiver and Consent

Entity information Related to item 10(e)(2) Record: 3

10(e)(2)(i). The individuals named in the Action	Waddell & Reed, Inc. Robert Hechler and Robert Williams (CAF040002)
10(e)(2)(ii). Title of Action	D.O.E. v. Waddell & Reed, Inc. Robert Hechler and Robert Williams (CAF040002)
10(e)(2)(iii). Date of Action	01/14/2004
10(e)(2)(iv). The Court or body taking the Action and its location	NASD
10(e)(2)(v). Description of the Action	Disciplinary Proceeding
10(e)(2)(vi). The disposition of the proceeding	Order Accepting Offers of Settlement by Respondents

Entity information Related to item 10(e)(2) Record: 4

10(e)(2)(i). The individuals named in the Action	Waddell & Reed, Inc.
10(e)(2)(ii). Title of Action	In the matter of Waddell & Reed, Inc. (E062004029603)
10(e)(2)(iii). Date of Action	11/24/2006
10(e)(2)(iv). The Court or body taking the Action and its location	NASD
10(e)(2)(v). Description of the Action	Acceptance, Waiver and Consent
10(e)(2)(vi). The disposition of the proceeding	Acceptance, Waiver and Consent

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? Yes 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? Yes 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? Yes 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) ? Yes No

10(h). Has a bonding company denied, paid out on, or revoked a bond for the applicant or a control affiliate? Yes No

Entity information Related to item 10(h) Record: 1

10(h)(i). The individuals named in the Action	William Webber
10(h)(ii). Title of Action	N/A
10(h)(iii). Date of Action	02/05/1987
10(h)(iv). The Court or body taking the Action and its location	N/A
10(h)(v). Description of the Action	Payment under Fidelity Bond
10(h)(vi). The disposition of the proceeding	Settled

Entity information Related to item 10(h) Record: 2

10(h)(i). The individuals named in the Action	David Stevenson
10(h)(ii). Title of Action	N/A
10(h)(iii). Date of Action	11/04/1997
10(h)(iv). The Court or body taking the Action and its location	N/A
10(h)(v). Description of the Action	Payment under Fidelity Bond
10(h)(vi). The disposition of the proceeding	Settled

Entity information Related to item 10(h) Record: 3

10(h)(i). The individuals named in the Action	Emmanuel Lagpacan
10(h)(ii). Title of Action	N/A
10(h)(iii). Date of Action	06/11/1999
10(h)(iv). The Court or body taking the Action and its location	N/A
10(h)(v). Description of the Action	Payment under Fidelity Bond
10(h)(vi). The disposition of the proceeding	Settled

10(i). Does the applicant or a control affiliate have any unsatisfied judgments or liens against it? Yes No

TA-1/A : 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/ Mark Patrick Buyle
11(b). Telephone Number:	913-236-1928
11(c). Title of Signing Officer:	Senior Vice President
11(d). Date Signed (Month/Day/Year):	01/11/2019