FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074093701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cody Robert Roos (Respondent) Former General Securities Representative CRD No. 6694181 Pursuant to FINRA Rule 9216, Respondent Cody Robert Roos submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.