MA-I 0001881014 XXXXXXXX Ethan Dela Cruz 973-618-9511 edelacruz@alternativereg.com edelacruz@alternativereg.com N N Joseph Guimont Holston Jr. 6892516 N 1 0001881014 First Tryon Advisors, LLC 10-14-2025 N 867-02606 LOCATED SUPERVISED 10-14-2025 1 Park Place SUITE 485 Annapolis MD 21401 Bo NMN Holston 10-2025 First Tryon Advisors, LLC Annapolis MD 21401 Y N VICE PRESIDENT 10-2025 04-2026 FTA ASSET MANAGEMENT, LLC ANNAPOLIS MD 21401 N Y VICE PRESIDENT (due to EDGAR system limitations not allowing for overlapping dates, individual is still employed at FTA Asset Management, LLC) 09-2025 10-2025 FINALIS SECURITIES LLC NEW YORK NY 10017 N Y REGISTERED REPRESENTATIVE (DUE TO EDGAR SYSTEM NOT ALLOWING FOR OVERLAPPING DATES, REPRESENTATIVE ACTUALLY STARTED IN AUGUST 2025 AND ENDED OCTOBER 2025) 08-2025 09-2025 CAMBRIDGE WILKINSON NEW YORK NY 85550 N Y SENIOR ASSOCIATE (DUE TO EDGAR SYSTEM NOT ALLOWING FOR OVERLAPPING DATES, REPRESENTATIVE ACTUALLY STARTED IN AUGUST 2025 AND ENDED OCTOBER 2025) 08-2024 06-2025 GEORGETOWN UNIVERSITY WASHINGTON DC 20057 N N STUDENT 04-2022 07-2024 MORGAN STANLEY & CO. LLC NEW YORK NY 10036 N Y ASSOCIATE, CLIENT SERVICE 05-2019 03-2022 UBS FINANCIAL SERVICES CHARLOTTE NC 28277 N Y FINANCIAL ADVISOR 12-2017 03-2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CHARLOTTE NC 28255 N Y FINANCIAL ADVISOR 08-2015 12-2017 CRESCOM BANK GREENVILLE SC 29615 N Y UNIVERSAL BANKER Y 10-2025 FTA ASSET MANAGEMENT, LLC 1 PARK PLACE SUITE 485 ANNAPOLIS MD 21401 N Y INVESTMENT ADVISOR MANAGING ADVISOR 5 ASSET MANAGEMENT N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N 04-10-2026 Kimberly McManus President, Alternative Regulatory Solutions, LLC