FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067764002 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: LPL Financial LLC (Respondent) Member Firm CRD No. 6413 Pursuant to FINRA Rule 9216, Respondent LPL Financial 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. 2018056483902 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mirsad A. Muharemovic (Respondent) Former General Securities Representative CRD No. 3122589 Pursuant to FINRA Rule 9216, Respondent Mirsad A. Muharemovic submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.