FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062705801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: SoFi Securities LLC (Respondent) Member Film CRD No. 151717 Pursuant to FINRA Rule 9216, Respondent SoFi Securities LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the propose of proposing a settlement of the alleged rule violations described below.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078749801 Department of Enforcement Financial Industry Regulatory Authority (FINRA) Michael Gerard Gravelyn (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6569005 Pursuant to FINRA Rule 9216, Respondent Michael Gerard Gravelyn 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.2023079747801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Gloria R. Geslak (Respondent) Associated Person CRD No. 5314848 Pursuant to FINRA Rule 9216, Respondent Gloria R. Geslak submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.