Mark Stephen Batzel

1. Summit Group of Virginia, LLP -investment related; 5029 Corporate Woods Drive Suite 200, Virginia Beach, VA 23462; financial services; owner; 1/13/2023; 160 hrs/month; 160 hrs during trading; owner 2. SUMMIT GROUP OF VIRGINIA POSITION: Partner/Owner NATURE: DBA for conducting business INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 01/01/1996 ADDRESS: 192 Ballard Court, Suite 400, Virginia Beach VA 23462, United States DESCRIPTION: Summit Group of Virginia has been our DBA for 30 years. 3. SUMMIT PARTNERS, LLC POSITION: Member NATURE: This LLC was formed by Jeffrey Silverman, Mark Batzel, and Craig Stanley to make a contribution to this LLC for investment purposes. INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/23/2019 ADDRESS: 192 Ballard Court, Suite 400, Virginia Beach VA 23462 DESCRIPTION: I am a member with no duties or responsibilities involved. 4. ALERA GROUP, INC. POSITION: Associate NATURE: My Agency sold its assets to Alera Group, Inc. Moving forward, I will be employed by Alera Group, Inc., but will continue to service my BD clients as an RR. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/02/2023 ADDRESS: 3 Parkway North, Suite 500, Deerfield IL 60015 DESCRIPTION: As an associate with Alera Group, Inc., I will continue to operate as I do today with my clients. I will continue to act as an RR, IAR, and insurance agent as applicable to continue serving my existing clients as well as new clients. 5. INDEPENDENT INSURANCE AGENT - FIXED PRODUCTS POSITION: Agent NATURE: Sale of fixed insurance products INVESTMENT RELATED: Yes NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 20 START DATE: 01/02/1990 ADDRESS: 192 Ballard Court, Suite 400, Virginia Beach VA 23462 DESCRIPTION: Sales 6. EXZEL MANAGEMENT, LLC POSITION: Member NATURE: This LLC is used for joint real estate purchases INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/30/2016 ADDRESS: 1311 Jamestown Road, Suite 203, Williamsburg VA 23185 DESCRIPTION: No Duties. 7. BALLARD SUMMIT, LLC POSITION: Member NATURE: Purchasing of a building for our company. The building is being purchased as our lease is expiring. We need more space, and owning this building is a chance to continue to operate and build value. I will receive no compensation but hope to profit by building equity. The other members of Ballard Summit, LLC are close friends and family. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/01/2022 ADDRESS: 192 Ballard Court, Virginia Beach VA 23462 DESCRIPTION: I am an owner and tenant of 192 Ballard Court. 8. BALLARD BATZEL, LLC POSITION: Managing Member NATURE: This LLC holds a family interest in Summit Ballard, LLC. Members are Mark Batzel, Katherine Batzel, Audrey Batzel, Natalie Batzel, Thomas Batzel. INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 07/29/2022 ADDRESS: 4036 Bridgehampton Lane, Virginia Beach VA 23455 DESCRIPTION: No Duties 9. THE ASCENT GROUP, LLC POSITION: IAR NATURE: The Ascent Group, LLC is an SEC Registered RIA INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 05/15/2021 ADDRESS: 192 Ballard Court, Suite 400, Virginia Beach VA 23462, United States DESCRIPTION: As an Investment Advisor representative I will provide investment advice to clients in return for an advisory fee. 10. SGVA HOLDINGS POSITION: Owner NATURE: LLC for holding ownership in Alera Group, inc. INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/02/2023 ADDRESS: 192 Ballard Ct, Ste 400, Virginia Beach VA 23462-3744, United States DESCRIPTION: No Duties or Responsibilities