Nicholas Daniel Wheeler
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 Cincinnati, 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Nick Daniel Wheeler
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
18 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
OCTAVIA WEALTH ADVISORS LLC
Contact Information
Main Address
9999 Carver Road Suite 130, Cincinnati, OH 45242Phone Number
(513) 762-7701# of Employees
45SEC notice filing (40 States and Territories)
Registered to provide investment advisory services in 40 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
6,795AUM (Assets Under Management)
$2,153,480,679Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
OCTAVIA WEALTH ADVISORS LLC
State Registrations and Notice Filings
(6/12/2020)
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Daniel Wheeler's CRS (Customer Relationship Summary).
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