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.