Securities Transfer Association

Nonprofit profile at a glance

EIN
135275335
IRS 990 coverage
2009–2025
Forms available
Form 990 2025
Location
White Stone, VA, USA
Phone
7036597692
Rating
77
Verdict
SUPPORTED
Rating confidence
Moderate

Official website

Reported finances

Revenue
$342,671
Expenses
$332,298
Assets
$1,408,030
Liabilities
$83,259

Source: IRS Form 990. Selected filing: tax year 2025. Amounts in USD.

Leadership & pay

8 people listed

Executive titles in this filing

  • PETER DUGGAN (PRESIDENT)

People named in this filing

  • MELISSA CABOCEL (EXECUTIVE DI)
  • LARA DONALDSON (DIRECTOR)
  • PETER DUGGAN (PRESIDENT)

Selected names, not a complete roster or a statement of current roles. Open leadership details for the complete filed list.

Source: IRS Form 990. Selected filing: tax year 2025. Names and roles reflect this filing, not necessarily current officeholders.

Overview

Mission

Representation of the securities transfer industry before regulatory and legislative bodies, an advisory and educational role for the benefit of all members.

What it reported doing in 2025

Membership meetings - the sta holds periodic meetings and an annual conference. The objective of these meetings is to educate members on new regulations and laws affecting the securities transfer industry, such as unclaimed property laws, consumer privacy laws, IRS rule 2018-17, and other transfer agent regulations.

Operating model

Revenue model
Mixed. Its operating money came from several sources; no one source provided a clear majority.
Distribution model
Direct operator. The filing allocates 100% of reported program-service expenses outside its grant, affiliate-payment, and member-benefit lines. This expense classification does not rule out separately announced grant awards.

The verdict

SUPPORTED - The filed numbers largely add up and a large share of available resources goes toward mission work. Revenue has declined or grown slowly and some filing-based governance responses are negative or unanswered.

Rating breakdown

  • Financial Efficiency: 66
  • Transparency & Controls: 90
  • Accountability: 88
  • Sustainability: 54
  • Growth: 60

Detailed rating inputs

Financial Efficiency

  • Mission deployment rate: 73.9%; rating input score 74
  • Program expense ratio: 75%; rating input score 75
  • Fundraising efficiency: Limited

Transparency & Controls

  • Consistency checks: 100%; rating input score 100; 64th percentile among comparable filings
  • Pay-setting controls: Limited
  • Foreign activity oversight: Limited
  • Grant itemization coverage: Limited
  • Major donor itemization: Limited
  • Related-party transparency: Limited

Accountability

  • Independent voting board: 100%; rating input score 100; 64th percentile among comparable filings
  • Governance controls: 5 of 7 controls in place; rating input score 71
    • Conflict-of-interest policy: Pass
    • Whistleblower policy: Pass
    • Document-retention policy: Pass
    • CEO compensation review process: NotApplicable
    • Other executive compensation review process: NotApplicable
    • Form 990 shared with the board: Pass
    • Board meeting minutes documented: Pass
    • Audit committee oversight: Missing
    • Independent financial-statement audit: Fail

Sustainability

  • Operating margin: 3%; rating input score 43; 43rd percentile among comparable filings
  • Total-asset coverage ratio: 4.24; rating input score 76; 76th percentile among comparable filings
  • Liabilities to assets ratio: 0.06; rating input score 26; 26th percentile among comparable filings
  • Officer compensation ratio: 0%; rating input score 67; 67th percentile among comparable filings

Growth

  • Program expense growth: 13.6% per year; rating input score 100; 75th percentile among comparable filings
  • Revenue growth: -2.5% per year; rating input score 0; 13th percentile among comparable filings
  • Asset growth: 1.3% per year; rating input score 100; 28th percentile among comparable filings

Details

  • Where the money goes: 73.9% of revenue deployed · 75% of spending went to programs
  • Governance: 8 of 8 board members independent · 5 of 7 filing controls reported
  • Programs: 3 filed program accomplishments · $249K in reported program spending
  • Leadership: top reported pay $0 · 8 people listed
  • Consistency: 17 of 17 current checks pass
  • Schedules: 2 filed schedules
  • Filing history: 16 filing years from 2009 to 2025
  • Contacts: How to reach this organization
  • Grant readiness: Federal tax and exclusion status, award history, and grant-maker relationships.
  • People: Everyone the filings name, and which of them the filings identify by more than a name.

Key Signals

Signals prioritize questions for review. They are not findings of misconduct.

  • High — Growth: Revenue growth scored 0/100.
  • Review — Accountability: Governance controls: Independent financial-statement audit not reported.
  • Moderate — Sustainability: Operating margin scored 43/100.
  • High — Sustainability: Liabilities to assets ratio scored 26/100.