FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067667201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Adam Thomas Marquardt (Respondent) General Securities Representative (GSR) CRD No. 5307192 Pursuant to FINRA Rule 9216, Respondent Adam T. Marquardt 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 OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. David Hixon, CRD No. 4707468, Respondent. Disciplinary Proceeding No. 2021070867702 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent David Hixon failed to provide a complete response to FINRA’s requests for information and documents made pursuant to FINRA Rule 8210 in July, August, and October 2021. As a result, Hixon violated FINRA Rules 8210 and 2010. RESPONDENT AND JURISDICTION 2. Hixon first registered with FINRA in 2006.