FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069470101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Chad M. Koehn (Respondent) Former Investment Company and Variable Contracts Product Representative (IR) Former General Securities Representative (GS) CRD No. 2216169 Pursuant to FINRA Rule 9216, Respondent Chad M. Koehn submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.