Mark E. Nichols
Professional summary
Mark Edward Nichols is a registered financial advisor currently at CHARTER ADVISORY SERVICES, LLC located in Daytona Beach, Florida.
Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Mark has worked at 8 firms and has passed the Series 65, Series 63, Series 3, Series 2, Series 31, Series 7, Series 27, Series 53, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Mark Edward Nichols's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 30, 2017 - Present
CHARTER ADVISORY SERVICES, LLC
Office #1: 1616 Concierge Blvd. 1st Floor - #1234, Daytona Beach, FL, 32117Office #2: 1616 Concierge Blvd 1st Floor #1234, Daytona Beach, FL 32117June 21, 2016 - March 21, 2017
HORTER INVESTMENT MANAGEMENT, LLC
September 13, 2006 - October 13, 2006
DIRECT CAPITAL SECURITIES, INC.
June 25, 2002 - June 15, 2006
AIS FINANCIAL, INC.
November 7, 1995 - November 13, 1996
LPL FINANCIAL LLC
September 26, 1994 - November 13, 1995
A. G. EDWARDS & SONS, INC.
February 12, 1988 - October 6, 1994
RAYMOND JAMES & ASSOCIATES, INC.
December 22, 1987 - February 18, 1988
WACHOVIA SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(6/30/2017)
Exams
Series 2
Date: 3/26/1996
Non-Member General Securities ExaminationSeries 8
Date: 6/24/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CHARTER ADVISORY SERVICES, LLC
CRD#: 288303 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 72 |
| AUM (Assets Under Management) | $ 8,610,000 |
Red Flags
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