Securities America, Inc. | FINRA Disciplinary Action

March 29, 2021

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061765001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Securities America, Inc., Respondent Member Firm CRD No. 10205 Pursuant to FINRA Rule 9216, Respondent Securities America, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Case ID Number: 2019061765001

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