Nicholas D. Wheeler

OCTAVIA WEALTH ADVISORS LLC

Blue Ash, OH 45242

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CRD#: 5318587

Professional summary

Nicholas Daniel Wheeler, who also goes by Nick Daniel Wheeler, is a registered financial advisor currently at OCTAVIA WEALTH ADVISORS LLC located in Blue Ash, Ohio and PURSHE KAPLAN STERLING INVESTMENTS located in Cincinnati, Ohio.

Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Nicholas has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nick Daniel Wheeler

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) Nicholas Wheeler is dually-registered as an investment advisor representative with Octavia Wealth Advisors, LLC ("Octavia") and as a Registered Representative with Purshe Kaplan Sterling Investments, Inc. ("PKS") since 06/2020. Business is conducted from 9999 Carver Road, Suite 130, Cincinnati, Ohio 45242. Approximately 90% of Nicholas Wheeler's time is for services as an investment advisor representative and the balance as a registered representative. Octavia and PKS are not affiliated.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Daniel Wheeler'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

June 12, 2020 - Present

OCTAVIA WEALTH ADVISORS LLC

Office #1: 9999 Carver Road, Blue Ash, OH 45242

RIA

CRD#: 306909

Blue Ash, OH

Current

June 15, 2020 - Present

PURSHE KAPLAN STERLING INVESTMENTS

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

CRD#: 35747

Cincinnati, OH

Past

September 7, 2011 - June 25, 2020

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

CINCINNATI, OH

Past

July 3, 2008 - June 25, 2020

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CINCINNATI, OH

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
(6/12/2020)

Ohio
(6/15/2020)

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: 9/6/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/2/2008

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/26/2017

General Securities Principal 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.

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Advisor Monitoring

Firm Stability Insights

Nicholas D. Wheeler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Daniel Wheeler's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

Primary Firm SEC Registration

OCTAVIA WEALTH ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/6/2011

SIE

Date: 10/1/2018

Series 7

Date: 7/2/2008

Series 24

Date: 10/26/2017

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

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