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KV

Kurt Volker

OCTAVIA WEALTH ADVISORS LLC
San Diego, CA 92108
Some features on this profile are disabled
CRD#: 5495090
KV

Professional summary

Kurt Volker 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.

Kurt is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Kurt has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

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) Kurt Volker 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 7676 Hazard Center Drive, Suite 1550, San Diego, CA 92108. Approximately 90% of Kurt Volker's time is for services as an investment advisor representative and the balance as a registered representative. Octavia and PKS are not affiliated. 2) Insurance agent; Octavia Risk Management LLC; 06/2020; implementation of insurance products; 7676 Hazard Center Drive, Suite 1550, San Diego, CA 92108; 20 hours per month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kurt Volker'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: 7676 Hazard Center Drive Unit 1050, San Diego, CA 92108
RIA
CRD#: 306909
San Diego, CA
Current

June 12, 2020 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 7676 Hazard Center Drive Suite 1550, San Diego, CA 92108
BD
CRD#: 35747
San Diego, CA
Past

November 20, 2018 - July 7, 2020

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
SAN DIEGO, CA
Past

November 20, 2018 - July 7, 2020

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
SAN DIEGO, CA
Past

January 11, 2016 - September 26, 2018

MORGAN STANLEY

RIA
CRD#: 149777
LA JOLLA, CA
Past

December 9, 2015 - September 26, 2018

MORGAN STANLEY

BD
CRD#: 149777
LA JOLLA, CA

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".
OW
OCTAVIA WEALTH ADVISORS LLC
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.
RR
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

RR
California
(6/12/2020)
IAR
California
(6/12/2020)
RR
Massachusetts
(6/12/2020)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/11/2016
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/26/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/9/2015
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

OW
OCTAVIA WEALTH ADVISORS LLC
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
49

SEC notice filing (39 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts6,332
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.

Company Information

OCTAVIA WEALTH ADVISORS LLC

CRD#: 306909San Diego, CA 92108

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