MA-I/A 0001625387 XXXXXXXX Ken McManus 973-618-9508 kenmcmanus@alternativereg.com kenmcmanus@alternativereg.com Y 0001625387-26-000009 N Brian Gregory Nurick 2860371 N 1 0001625387 Compass Municipal Advisors, LLC 11-14-2014 N 867-01272 SUPERVISED 12-31-2015 1310 Pulaski Street COLUMBIA SC 29201 LOCATED SUPERVISED 11-14-2014 110 W Vine Street Suite 240 LEXINGTON KY 40507 11-2014 Compass Municipal Advisors, LLC COLUMBIA SC 29201 Y N Director 01-2012 11-2014 Southwest Securities, Inc. Lexington SC 29201 Y Y Senior Vice President (currently employed per Item 1(B)) 04-1998 01-2012 Ross, Sinclaire & Associates, LLC Lexington KY 40507 Y Y Financial Advisor Y 12-2004 BGN, Inc 2213 Olmstead Court Lexington KY 40513 N N Holding Company President/Director 0 Manage any affairs 10-2012 BGN Investments, LLC 2213 Olmstead Court Lexington KY 40513 N Y Investing Member 0 Manage any affiairs 05-2016 CCN Investments, LLC 2213 Olmstead Court Lexington KY 40513 N Y Investing Member 0 Manage any affairs 07-2012 Nurick Family Dynasty Trust 2213 Olmstead Court Lexington KY 40513 N N Trust Trustee 0 Manage any affairs 05-2016 Nurick Family trust 2213 Olmstead Court Lexington KY 40513 N N Trust Trustee 0 Manage any affairs 05-2016 2016 Family Protection Trust 2213 Olmstead Court Lexington KY 40513 N N Trust Trustee 0 Manage any affairs 11-2011 Meri Cameron Clarke-Nurick Irrevocable Life Insurance Trust 2213 Olmstead Court Lexington KY 40513 N N Trust Trustee 0 Manage any affairs 05-2015 Brian Nurick Revocable Living Trust 2213 Olmstead Road Lexington KY 40513 N N Trust Trustee 0 Manage any affairs 02-2017 Morehead State University Foundation, Inc. 150 University Blvd. Morehead KY 40513 N N Charitable Board Member 2 Serve as Board Member 02-2019 Paul Laurence Dunbar High School 1600 Man O War Blvd Lexington KY 40513 N N School based decision-making council Parent representative 3 Assist in selling school policy to provide an environment to enhance student achievement and help the school reach its accountability goals. 01-2022 2022 Trust for Brian G. Nurick 2213 Olmstead Court LEXINGTON KY 40513 N N Trust Trustee 2 Trustee 01-2026 Compass Holding Group, Inc. 110 West Vine Street Suite 240 Lexington KY 40507 N N Holdings Group Owner/President 10 Ownership duties and holdings oversight 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 Y N N Y N N N N N N N N 07-24-2026 Kenneth McManus SVP, Alternative Regulatory Solutions LLC The individual, the firm, and one other individual associated with the firm, along with two other non-municipal advisor defendants, collectively agreed to settle the case without any admission of liability or wrongdoing and to avoid the expense of protracted litigation for a total payment of $1 million to the customer. The contribution from the firm and its two associated individuals for their portion of the total payment was covered by an insurance policy. N 6I(1)(a) 6I(1)(b) 6I(2)(a) 6I(2)(c) Y Berkeley County School District SC Compass Municipal Advisors, LLC and Southwest Securities, Inc. 867-01272 6220 Debt - Municipal The civil complaint arose from the embezzlement and misappropriation of funds by the school district's former chief financial officer. The complaint asserted claims for common law fraud, conversion, breach of fiduciary duty, aiding and abetting breach of fiduciary duty, negligence, civil conspiracy, violations of the South Carolina unfair trade practices act, constructive trust unjust enrichment and breach of contract. The complaint alleged that some or all defendants had undisclosed conflicts of interests, charged excessive fees, caused the school district to issue debt more frequently than necessary, charged the district unnecessary expenses, and concealed the CFO's fraud, among other things. The complaint sought repayment of fees for the period 2007 to 2016. Defendants disputed the allegations but agreed to settle the case without admitting wrongdoing to avoid the expense and uncertainty of litigation. 50000000.00 Plaintiffs seek damages of $50,000,000 in compensatory, treble, and punitive damages. State Court Berkeley County, South Carolina Court of Common Pleas 2019CV0800548 300-B California Avenue MONCKS CORNER SC 29461 Berkeley County School District v. Compass Municipal Advisors et al 03-12-2019 Settlement that includes a monetary payment to customer 04-27-2026 300000.00