FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071319701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sean Morgan Storm Boswick (Respondent) Former General Securities Representative CRD No. 2491980 Pursuant to FINRA Rule 9216, Respondent Sean Morgan Storm Boswick 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. 2022074845701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Daniel Liam Kiely (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6963909 Pursuant to FINRA Rule 9216, Respondent Daniel Liam Kiely 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. 2021069460901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Securities America, Inc. (Respondent) Member Firm CRD No. 10205 Royal Alliance Associates, Inc. (Respondent) Member Firm CRD No. 23131 SagePoint Financial, Inc. (Respondent) Member Firm CRD No.