FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074134801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: American Portfolios Financial Services, Inc. (Respondent) Member Firm CRD No. 18487 Pursuant to FINRA Rule 9216, Respondent American Portfolios Financial Services, Inc. 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. 2022076254001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Marc Barton (Respondent) General Securities Representative CRD No. 2937356 Pursuant to FINRA Rule 9216, Respondent Marc Barton 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. 2021069382001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: North Capital Private Securities Corporation (Respondent) Member Firm CRD No. 154559 Pursuant to FINRA Rule 9216, Respondent North Capital Private Securities Corporation submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.