FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075235601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Annetta Marie Box (Respondent) Former General Securities Principal, Former General Securities Representative and Former Municipal Securities Representative CRD No. 6475567 Pursuant to FINRA Rule 9216, Respondent Annetta Marie Box 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. 2020067908701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Zachary Hansen (Respondent) Former General Securities Representative CRD No. 5553180 Pursuant to FINRA Rule 9216, Respondent Zachary Hansen 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. 2020068870301 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.