Mark Edward Nichols

Current Employers

Employment History

• 05/2016 → 03/2017
  Horter Investment Management, Llc
  Cincinnati, OH
• 01/1998 → Present
  Charter Insurance Brokerage
  Naples, FL
• 04/2017 → Present
  Charter Advisory Services, Llc
  Naples, FL

Previous Registrations

• 2016-06-21 → 2017-03-21
  Horter Investment Management, Llc
  Naples, FL
  Cincinnati, OH

Other Businesses

The Name of the other business: Charter Insurance Brokerage, Inc Investment Related?: Yes Address of other business: 1415 Panther Lane #409 Naples, FL 34109 Nature of other business: Insurance Your position: President, Producer Start Date: 01/1998 How many hours you devote to the other business per month: 120 How many hours you devote to the other business during securities trading hours: 4-5 Per Day Briefly describe your duties: Marketing/Sales The Name of the other business: Foundation Settlement Management Company, LLC Investment Related?: Yes Address of other business: 1415 Panther Lane #409 Naples, FL 34109 Nature of other business: General Partner to the following entities: Foundation Settlement Fund, LP, Foundation Settlement Fund 2012, LP, Foundation Settlement Fund 2013, LP, Foundation Settlement Fund 2014, LP, and High Yield Properties, LLC Your position: Manager Start Date: 10/2010 How many hours you devote to the other business per month: 4 How many hours you devote to the other business during securities trading hours: 0 Per Day Briefly describe your duties: oversee operations which are minimal

Exams

• S65 Uniform Investment Adviser Law Examination
  2016-02-22
• S63 Uniform Securities Agent State Law Examination
  1988-01-13