FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079285701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sherwin Sargeant (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 5096798 Pursuant to FINRA Rule 9216, Respondent Sherwin Sargeant 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. 2023079728801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jared Berrios (Respondent) Investment Company and Variable Contracts Products Principal CRD No. 6226088 Pursuant to FINRA Rule 9216, Respondent Jared Berrios 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. 2024081647104 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lisa Marjorie Jones (Respondent) Investment Company Products/Variable Contracts Principal and Investment Company and Variable Contracts Products Representative CRD No. 3044272 Pursuant to FINRA Rule 9216, Respondent Lisa Marjorie Jones submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.