| Name: | BROADRIDGE FINANCIAL SOLUTIONS, INC. |
| Jurisdiction: | New York |
| Legal type: | FOREIGN BUSINESS CORPORATION |
| Status: | Active |
| Date of registration: | 13 Jun 2007 (18 years ago) |
| Entity Number: | 3530595 |
| ZIP code: | 07102 |
| County: | New York |
| Place of Formation: | Delaware |
| Address: | 2 Gateway Center, 283-299 Market Street, Newark, NJ, United States, 07102 |
| Principal Address: | ATTN: TAX DEPT, 2 GATEWAY CENTER, NEWARK, NJ, United States, 07102 |
Contact Details
Phone +1 800-353-0103
| CAGE number | Status | Type | Established | CAGE Update Date | CAGE Expiration | SAM Expiration | |||||||||||||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 77XQ5 | Active | Non-Manufacturer | 2014-09-19 | 2024-09-25 | 2029-09-25 | 2025-09-23 | |||||||||||||||||||||||||||||||||||||
|
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| POC | CAITLIN CONNOLLY |
| Phone | +1 631-274-2571 |
| Address | 5 DAKOTA DR STE 300, NEW HYDE PARK, NY, 11042 1109, UNITED STATES |
Ownership of Offeror Information
| Highest Level Owner | Information not Available |
|---|
| Immediate Level Owner | Information not Available |
|---|
| List of Offerors (3) | |
|---|---|
| CAGE number | 99Y04 |
| Owner Type | Immediate |
| Legal Business Name | BROADRIDGE INVESTOR COMMUNICATION SOLUTIONS, INC. |
| CAGE number | 9BKA1 |
| Owner Type | Immediate |
| Legal Business Name | BROADRIDGE OUTPUT SOLUTIONS, LLC |
| CAGE number | 998M8 |
| Owner Type | Immediate |
| Legal Business Name | BROADRIDGE SECURITIES PROCESSING SOLUTIONS, LLC |
| Name | Role | Address |
|---|---|---|
| C/O CORPORATION SERVICE COMPANY | DOS Process Agent | 2 Gateway Center, 283-299 Market Street, Newark, NJ, United States, 07102 |
| Name | Role | Address |
|---|---|---|
| LAURA MATLIN | Chief Executive Officer | ATTN: TAX DEPT, 2 GATEWAY CENTER, NEWARK, NJ, United States, 07102 |
| Start date | End date | Type | Value |
|---|---|---|---|
| 2023-06-27 | 2023-06-27 | Address | ATTN: TAX DEPT, 2 GATEWAY CENTER, NEWARK, NJ, 07102, USA (Type of address: Chief Executive Officer) |
| 2021-06-07 | 2023-06-27 | Address | 80 STATE STREET, ALBANY, NY, 12207, 2543, USA (Type of address: Service of Process) |
| 2019-06-03 | 2023-06-27 | Address | ATTN: TAX DEPT, 2 GATEWAY CENTER, NEWARK, NJ, 07102, USA (Type of address: Chief Executive Officer) |
| 2019-02-25 | 2021-06-07 | Address | 80 STATE STREET, ALBANY, NY, 12207, 2543, USA (Type of address: Service of Process) |
| 2019-01-28 | 2019-02-25 | Address | 28 LIBERTY ST., NEW YORK, NY, 10005, USA (Type of address: Service of Process) |
| 2012-08-15 | 2019-01-28 | Address | 111 EIGHTH AVENUE, NEW YORK, NY, 10011, USA (Type of address: Service of Process) |
| 2011-06-30 | 2019-06-03 | Address | ATTN: TAX DEPT, 2 JOURNAL SQUARE, JERSEY CITY, NJ, 07306, USA (Type of address: Principal Executive Office) |
| 2011-06-30 | 2012-08-15 | Address | 875 AVE OF AMERICAS, SUITE 501, NEW YORK, NY, 10001, USA (Type of address: Service of Process) |
| 2011-06-30 | 2019-06-03 | Address | ATTN: TAX DEPT, 2 JOURNAL SQUARE, JERSEY CITY, NJ, 07306, USA (Type of address: Chief Executive Officer) |
| 2009-06-24 | 2011-06-30 | Address | ATTN: TAX DEPT, 2 JOURNAL SQUARE, JERSEY CITY, NJ, 07306, USA (Type of address: Chief Executive Officer) |
| Filing Number | Date Filed | Type | Effective Date |
|---|---|---|---|
| 230627000150 | 2023-06-27 | BIENNIAL STATEMENT | 2023-06-01 |
| 210607061292 | 2021-06-07 | BIENNIAL STATEMENT | 2021-06-01 |
| 190603063134 | 2019-06-03 | BIENNIAL STATEMENT | 2019-06-01 |
| 190225001181 | 2019-02-25 | CERTIFICATE OF CHANGE | 2019-02-25 |
| SR-95016 | 2019-01-28 | CERTIFICATE OF CHANGE (BY AGENT) | 2019-01-28 |
| 170619006022 | 2017-06-19 | BIENNIAL STATEMENT | 2017-06-01 |
| 150625006162 | 2015-06-25 | BIENNIAL STATEMENT | 2015-06-01 |
| 130606006528 | 2013-06-06 | BIENNIAL STATEMENT | 2013-06-01 |
| 120815001128 | 2012-08-15 | CERTIFICATE OF CHANGE (BY AGENT) | 2012-08-15 |
| 110630002560 | 2011-06-30 | BIENNIAL STATEMENT | 2011-06-01 |
| Inspection Nr | Report ID | Date Opened | Site Address | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 344121611 | 0214700 | 2019-06-28 | 300 EXECUTIVE DRIVE, BRENTWOOD, NY, 11717 | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
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| Type | Referral |
| Activity Nr | 1470875 |
| Safety | Yes |
Violation Items
| Citation ID | 01001 |
| Citaton Type | Serious |
| Standard Cited | 19100178 N04 |
| Issuance Date | 2019-09-09 |
| Current Penalty | 8335.0 |
| Initial Penalty | 8335.0 |
| Final Order | 2019-10-03 |
| Nr Instances | 1 |
| Nr Exposed | 1 |
| Gravity | 5 |
| FTA Current Penalty | 0.0 |
| Citation text line | 29 CFR 1910.178(n)(4): Industrial truck driver(s) were not required to slow down and sound the horn at cross aisles and wherever vision was obstructed: a) Worksite: An employee operating a Yale Clam Truck did not slow down and sound the horn at a location where vision was obstructed, exposing employees to struck by hazards; on or about 6/25/19. Note: Because abatement of this violation is already documented in the case file, the employer need not submit certification or documentation of abatement for this violation as normally required by CFR 1903.19. |
| Inspection Type | Referral |
| Scope | Partial |
| Safety/Health | Safety |
| Close Conference | 2018-03-30 |
| Emphasis | N: AMPUTATE |
| Case Closed | 2018-05-18 |
Related Activity
| Type | Referral |
| Activity Nr | 1323029 |
| Safety | Yes |
| Type | Inspection |
| Activity Nr | 1305608 |
| Safety | Yes |
Violation Items
| Citation ID | 01001 |
| Citaton Type | Serious |
| Standard Cited | 19100147 C04 I |
| Issuance Date | 2018-04-11 |
| Abatement Due Date | 2018-05-07 |
| Current Penalty | 7761.0 |
| Initial Penalty | 12934.0 |
| Final Order | 2018-04-25 |
| Nr Instances | 1 |
| Nr Exposed | 4 |
| Gravity | 10 |
| FTA Current Penalty | 0.0 |
| Citation text line | 29 CFR 1910.147(c)(4)(i): Procedures shall be developed, documented and utilized for the control of potentially hazardous energy when employees are engaged in the activities covered by this section. a) Worksite, Warehouse A/Polywrap Dept: Employees were required to provide repairs and maintenance on BUHRS 2000 Polywrap machines such as, but not limited to Machine #4 with numerous sources of energy such as electrical, pneumatic, and mechanical. The employer did not develop, document and utilize Lockout/Tagout procedures to control hazardous energy; on or about 3/27/18. Note: In addition to abatement certification, the employer is required to submit abatement documentation for this item in accordance with 29 CFR 1903.19. |
| Citation ID | 01002 |
| Citaton Type | Serious |
| Standard Cited | 19100147 C07 I |
| Issuance Date | 2018-04-11 |
| Abatement Due Date | 2018-05-07 |
| Current Penalty | 7761.0 |
| Initial Penalty | 12934.0 |
| Final Order | 2018-04-25 |
| Nr Instances | 1 |
| Nr Exposed | 4 |
| Gravity | 10 |
| FTA Current Penalty | 0.0 |
| Citation text line | 29 CFR 1910.147(c)(7)(i): The employer did not provide adequate training to ensure that the purpose and function of the energy control program was understood by employees:(a)(LOCATION)(IDENTIFY SPECIFIC OPERATIONS AND/OR CONDITIONS)(IDENTIFY MACHINERY OR EQUIPMENT) a) Worksite, Warehouse A/Polywrap Dept: Employees were required to provide repairs and maintenance on BUHRS 2000 Polywrap machines such as, but not limited to machine #4 with numerous sources of energy such as electrical, pneumatic, and mechanical. The employer did not provide the employees with Lockout/Tagout training; on or about 3/27/18. Note: In addition to abatement certification, the employer is required to submit abatement documentation for this item in accordance with 29 CFR 1903.19. |
| USDOT Number | Carrier Operation | MCS-150 Form Date | MCS-150 Mileage | MCS-150 Year | Power Units | Drivers | Operation Classification | |||||||||||||||||||||||||||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1352394 | Intrastate Non-Hazmat | 2021-04-19 | 13000 | 2020 | 2 | 2 | Private(Property) | |||||||||||||||||||||||||||||||||||||||||||||||||||
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| Total Number of Inspections for the measurement period (24 months) | 0 |
| Driver Fitness BASIC Serious Violation Indicator | No |
| Vehicle Maintenance BASIC Acute/Critical Indicator | No |
| Unsafe Driving BASIC Acute/Critical Indicator | No |
| Driver Fitness BASIC Roadside Performance measure value | 0 |
| Hours-of-Service (HOS) Compliance BASIC Roadside Performance measure value | 0 |
| Total Number of Driver Inspections for the measurment period | 0 |
| Vehicle Maintenance BASIC Roadside Performance measure value | 0 |
| Total Number of Vehicle Inspections for the measurement period | 0 |
| Controlled Substances and Alcohol BASIC Roadside Performance measure value | 0 |
| Unsafe Driving BASIC Roadside Performance Measure Value | 0 |
| Number of inspections with at least one Driver Fitness BASIC violation | 0 |
| Number of inspections with at least one Hours-of-Service BASIC violation | 0 |
| Total Number of Driver Inspections containing at least one Driver Out-of-Service Violation | 0 |
| Number of inspections with at least one Vehicle Maintenance BASIC violation | 0 |
| Total Number of Vehicle Inspections containing at least one Vehicle Out-of-Service violation | 0 |
| Number of inspections with at least one Controlled Substances and Alcohol BASIC violation | 0 |
| Number of inspections with at least one Unsafe Driving BASIC violation | 0 |
Date of last update: 11 Mar 2025
Sources: New York Secretary of State
