Christopher M. Bertorelli

OCTAVIA WEALTH ADVISORS LLC

SAN DIEGO, CA 92108

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CRD#: 2386832

Professional summary

Christopher Mario Bertorelli, CFP®, CIMA® is a registered financial advisor currently at OCTAVIA WEALTH ADVISORS LLC located in San Diego, California and PURSHE KAPLAN STERLING INVESTMENTS located in San Diego, California.

Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Christopher has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

What are your service offerings?

Retirement Planning

Employee and Employer Plan Ben...

Investment Planning

Are you a "fiduciary"?

Yes

Aliases

None

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, LLC. Investment Related. 7676 Hazard Center Drive Suite 1550 San Diego, CA 92108. RIA. IAR. 08/2023. Hrs/month 160 all during trading hours. IAR. 2) Fixed insurance. Investment Related. 7676 Hazard Center Drive Suite 1550 San Diego, CA 92108. Fixed/traditional insurance. Agent. 08/2023. Hrs/month 5 all during trading hours. Sales of fixed/traditional insurance products. 2) Octavia Risk Management. 7676 Hazard Center Drive Suite 1550 San Diego, CA 92108. Fixed/traditional insurance. Agent. 08/2023. Hrs/month 5 all during trading hours. Implementation of insurance products. 4) Coronado Cays Yacht Club Financial Advisory Committee. Not Investment Related. 30 N Caribe Cay blvd Coronado, CA 92118. Charitable or non-profit organization. None. 12/2022. Hrs/month 2 with 1 during trading hours. Provide financial guidance and advice to CCYC board of directors.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Mario Bertorelli'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®

CFP^®

Certified Financial Planner

Start date: 2011

CIMA^®

Certified Investment Management Analyst

Experience

Current

August 2, 2023 - Present

OCTAVIA WEALTH ADVISORS LLC

Office #1: 7676 Hazard Center Drive Suite 1050, San Diego, CA 92108

RIA

CRD#: 306909

SAN DIEGO, CA

Current

November 17, 2023 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 7676 Hazard Center Drive Suite 1550, San Diego, CA 92108

CRD#: 35747

San Diego, CA

Past

November 8, 2018 - August 11, 2023

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA

CRD#: 105790

CORONADO, CA

Past

July 7, 2017 - November 8, 2018

MANULIFE INVESTMENT MANAGEMENT (US) LLC

RIA

CRD#: 106435

BOSTON, MA

Past

July 31, 2012 - December 31, 2014

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

BOSTON, MA

Past

December 14, 2011 - December 31, 2012

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

May 3, 2007 - December 31, 2016

MANULIFE INVESTMENT MANAGEMENT (US) LLC

RIA

CRD#: 106435

BOSTON, MA

Past

May 2, 2007 - December 31, 2010

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA

CRD#: 105790

BOSTON, MA

Past

January 9, 2007 - August 11, 2023

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

CRD#: 28262

BOSTON, MA

Past

December 5, 1994 - January 10, 2007

MFS FUND DISTRIBUTORS, INC.

CRD#: 31052

BOSTON, MA

Past

September 28, 1994 - December 31, 1994

MFS FINANCIAL SERVICES, INC.

CRD#: 18309

BOSTON, MA

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

Alabama
(10/3/2025)

Arizona
(11/17/2023)

Arkansas
(10/23/2024)

IAR

California
(8/2/2023)

California
(11/17/2023)

Florida
(11/17/2023)

Hawaii
(11/17/2023)

Idaho
(11/17/2023)

Maryland
(11/18/2024)

Massachusetts
(10/23/2024)

Nevada
(11/17/2023)

New York
(11/17/2023)

Texas
(11/17/2023)

IAR

Texas
(12/9/2024)

Virginia
(11/17/2023)

Washington
(11/17/2023)

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 65

Date: 5/1/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/4/1997

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: 9/24/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/27/1994

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

Christopher M. Bertorelli

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Mario Bertorelli's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

MANULIFE INVESTMENT MANAGEMENT (US) LLC

SIGNATOR INVESTORS, INC.

JOHN HANCOCK DISTRIBUTORS LLC

MANULIFE INVESTMENT MANAGEMENT (US) LLC

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

MFS FUND DISTRIBUTORS, INC.

MFS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

OCTAVIA WEALTH ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/1/2007

Series 63

Date: 11/4/1997

SIE

Date: 10/1/2018

Series 7

Date: 9/24/2015

Series 6

Date: 9/27/1994

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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