FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069374701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Superior Financial Services, Inc. (Respondent) Member Firm CRD No. 104165 Pursuant to FINRA Rule 9216, Respondent Superior Financial Services, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.