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9999 Carver Road Suite 130, Cincinnati, OH 45242 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2020-12-04 |
| TX | RA | APPROVED | 2020-12-04 |
Branch Locations
7676 Hazard Center Drive Suite 1550, San Diego, CA 92108 • United States
9999 Carver Road Suite 130, Cincinnati, OH 45242 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Axa Advisors, Llc | New York | NY | 06/2010 | 06/2020 |
| Equitable Advisors, Llc | New York | NY | 06/2010 | 11/2020 |
| Octavia Wealth Advisors Llc | San Diego | CA | 12/2020 | Present |
| Purshe Kaplan Sterling Investments Inc. | Albany | NY | 01/2021 | Present |
| Octavia Risk Management Llc | San Diego | CA | 11/2020 | Present |
1) Octavia Wealth Advisors, LLC; Investment Related; 7676 Hazard Center Drive, Suite 1550, San Diego, CA 92108; RIA; Investment Advisor; 11/2020; 160 hours per month; 160 hours during trading hours; Providing financial advise to clients 2) Insurance agent; Octavia Risk Management LLC; Investment Related; 7676 Hazard Center Drive, Suite 1550, San Diego, CA 92108; Implementation of Insurance Products; Insurance Agent; 11/2020; 20 hours per month; 4 hours during trading hours; Sale of insurance products
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-11-04 |
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