Susan M. Mchugh

OCTAVIA WEALTH ADVISORS LLC

Cincinnati, OH 45242

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CRD#: 2275756

Professional summary

Susan Marie Mchugh, who also goes by Susie Mchugh, Susan Marie Ruth, is a registered financial advisor currently at OCTAVIA WEALTH ADVISORS LLC located in Cincinnati, Ohio and PURSHE KAPLAN STERLING INVESTMENTS located in Cincinnati, Ohio.

Susan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Susan has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Susie Mchugh | Susan Marie Ruth

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) Octavia Wealth Advisors; Investment Related; 9999 Carver Road Ste 130, Cincinnati, OH 45242; RIA; Title - Investment Operations Specialist; Start - 6/2021; 160 Hrs/Mth; 130 During Securities Trading Hrs; Trading 2) Arbonne International, LLC; Not Investment Related; 8294 Kimberly Ann Ct., West Chester, OH 45069; Affiliate Consultant; 9/1/2023; 20 Hrs/Mth; Promoting products through social media

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan Marie Mchugh's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 6, 2021 - Present

OCTAVIA WEALTH ADVISORS LLC

Office #1: 9999 Carver Road Suite 130, Cincinnati, OH 45242

RIA

CRD#: 306909

Cincinnati, OH

Current

September 27, 2021 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 9999 Carver Road Suite 130, Cincinnati, OH 45242

CRD#: 35747

Cincinnati, OH

Past

August 30, 2016 - June 28, 2021

ON INVESTMENT MANAGEMENT CO

RIA

CRD#: 105662

Cincinnati, OH

Past

August 30, 2016 - June 28, 2021

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

Cincinnati, OH

Past

October 5, 2015 - August 29, 2016

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

CINCINNATI, OH

Past

August 28, 2007 - August 29, 2016

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CINCINNATI, OH

Past

January 5, 2004 - September 19, 2005

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

December 3, 1992 - September 12, 2002

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

OCTAVIA WEALTH ADVISORS LLC

CRD#: 306909 / SEC#: 801-118078

RIA

Registered Investment Advisory firm - (2/18/2020 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Ohio
(8/6/2021)

Ohio
(9/28/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/5/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/27/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/24/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/1/1992

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

OCTAVIA WEALTH ADVISORS LLC

CRD#: 306909 / SEC#: 801-118078

RIA

Registered Investment Advisory firm - (2/18/2020 Approved)

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Contact information

Main Address

9999 Carver Road Suite 130, Cincinnati, OH 45242

Mailing Address

Phone number

(513) 762-7701

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (39 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OCTAVIA WEALTH ADVISORS FORM ADV2A ("DISCLOSURE BROCHURE") (2/12/2025)

Regulatory assets under management

Total Number of Accounts	6,332
AUM (Assets Under Management)	$ 1,789,186,080

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Susan M. Mchugh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan Marie Mchugh's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

ON INVESTMENT MANAGEMENT CO

THE O.N. EQUITY SALES COMPANY

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

FIDELITY BROKERAGE SERVICES LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

OCTAVIA WEALTH ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/5/2015

Series 63

Date: 10/27/1992

SIE

Date: 10/1/2018

Series 7

Date: 2/24/1994

Series 6

Date: 12/1/1992

FINRA

Current Firm

OCTAVIA WEALTH ADVISORS LLC

Contact information

SEC notice filing (39 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OCTAVIA WEALTH ADVISORS LLC

TRUST BUT VERIFY

Contact information

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