FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074916801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William Marc Rankin (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 5534121 Pursuant to FINRA Rule 9216, Respondent William Marc Rankin 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. 2021071455501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Carl Cirelli (Respondent) General Securities Representative CRD No. 6738582 Pursuant to FINRA Rule 9216, Respondent Carl Cirelli 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. 2020068622401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Felipe Henao Vargas (Respondent) Former General Securities Representative CRD No. 5140431 Pursuant to FINRA Rule 9216, Respondent Felipe Henao Vargas submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.