FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024082375901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tamarah Daniel Taylor (Respondent) General Securities Representative CRD No. 4237020 Pursuant to FINRA Rule 9216, Respondent Tamarah Daniel Taylor submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066831101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Colorado Financial Service Corporation (Respondent) Member Firm CRD No. 104343 Pursuant to FINRA Rule 9216, Respondent Colorado Financial Service Corporation submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072848301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Carolina Financial Securities, LLC (Respondent) Member Firm CRD No. 41970 Pursuant to FINRA Rule 9216, Respondent Carolina Financial Securities, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079916101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Monique Russell (Respondent) Investment Company Shares and Variable Contracts Representative CRD No. 6274243 Pursuant to FINRA Rule 9216, Respondent Monique Russell submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079727001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Albert Mosseri (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 5624212 Pursuant to FINRA Rule 9216, Respondent Albert Mosseri submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, W AIYER, AND CONSENT NO.2022076173202 TO: Department of Enforcement Financial Industry Regulatory Authority (F INRA) RE: Rocio Tapia (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 5523 793 Pursuant to FINRA Rule 9216. Respondent Rocio Tapia submits this Letter of Acceptance, Waiver. and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024082383001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tracy M. Longstreet (Respondent) General Securities Representative CRD No. 1768525 Pursuant to FINRA Rule 9216, Respondent Tracy M. Longstreet submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.