FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069277101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Harpeth Securities, LLC (Respondent) Member Firm CRD No. 109821 Pursuant to FINRA Rule 9216, Respondent Harpeth Securities, LLC 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. 2021069380201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: DMK Advisor Group, Inc. (Respondent) Member Firm CRD No. 41067 Pursuant to FINRA Rule 9216, Respondent DMK Advisor Group, 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. 2022074661401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mark Allen Brewer (Respondent) General Securities Representative CRD No. 2110659 Pursuant to FINRA Rule 9216, Respondent Mark Allen Brewer submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.