FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024081517201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Bryan Noonan (Respondent) General Securities Representative CRD No. 4864372 Pursuant to FINRA Rule 9216, Respondent Bryan Noonan 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. 2024081405101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lauren Catherine McNeill (Respondent) General Securities Representative CRD No. 5674219 Pursuant to FINRA Rule 9216, Respondent Lauren Catherine McNeill 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. 2022075350201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ronald Gene Chronister (Respondent) Registered Representative CRD No. 3255653 Pursuant to FINRA Rule 9216, Respondent Ronald Gene Chronister 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. 2022074794901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thomas Reyes (Respondent) Former General Securities Representative and General Securities Principal CRD No. 3168338 Pursuant to FINRA Rule 9216, Respondent Thomas Reyes 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. 2020066397201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Steward Partners Investment Solutions, Inc., formerly known as Umpqua Investments, Inc. (Respondent) Member Firm CRD No. 1254 Pursuant to FINRA Rule 9216, Respondent Steward Partners Investment Solutions, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.