Phillip Charles Di Rocco

1. NAME OF OTHER BUSINESS: SOVRAN ADVISORS LLC DBA SOVRAN PARTNERS - CRD 329415; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM; POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISOR REPRESENTATIVE; START DATE: 02/2024; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING AND ASSET MANAGEMENT; 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 10/2004 APX NUMBER OF HOURS PER WEEK: 25 APX NUMBER OF HOURS DURING TRADING HOURS: 5 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SALES OF LIFE, HEALTH, DISABILITY, ANNUITIES, LONG TERM CARE; 3. NAME OF OTHER BUSINESS: JD COMMUNITY HOMES, LLC INVESTMENT RELATED: NO ADDRESS: 2031 SUNSET BLVD, SAN DIEGO, CA 92103 NATURE OF BUSINESS: REAL ESTATE START DATE: 2/2021 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: RENTAL PROPERTY MANAGEMENT; 4. NAME OF OTHER BUSINESS: WEALTH 365 ADVISORS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL AND INSURANCE SERVICES START DATE: 3/2023 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: FULL FINANCIAL PLANNING, SECURITIES AND INSURANCE; 5. NAME OF OTHER BUSINESS: PETER GREEN INSURANCE AGENCY, LLC INVESTMENT RELATED: YES ADDRESS: 1120 BRISTOL STREET, COSTA MESA, CA 92626 NATURE OF BUSINESS: SALES OF P&C INSURANCE PRODUCTS START DATE: 11/2017 POSITION/TITLE/RELATIONSHIP: INDEPENDENT CONTRACTOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: P&C INSURANCE; 6. NAME OF OTHER BUSINESS: KTIME HR INVESTMENT RELATED: NO; ADDRESS: 17872 COWAN IRVINE, CA 92614; NATURE OF BUSINESS: HUMAN RESOURCES; START DATE: 03/2025; POSITION/TITLE/RELATIONSHIP: BROKER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: HUMAN RESOURCES AND GROUP BENEFITS; 7. NAME OF OTHER BUSINESS: MARK PIETER BROKER ASSOCIATE INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: REFERRAL COMPENSATION ; START DATE: 06/2026; POSITION/TITLE/RELATIONSHIP: REFERRER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: REFERRAL FEE FOR ASSISTANCE IN SELLING A BUSINESS;