Susan M. Farlow

OCTAVIA WEALTH ADVISORS LLC

Cincinnati, OH 45242

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CRD#: 5910377

Professional summary

Susan M Farlow, who also goes by Susan M Cafferky, Susan Cafferky Farlow, Susan Farlow, 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 2011. Susan has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Susan M Cafferky | Susan Cafferky Farlow | Susan Farlow

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) Susan Farlow 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 09/2021. Business is conducted from 9999 Carver Road, Suite 130, Cincinnati, OH 45242. Approximately 90% of Susan Farlow'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; 09/2021; implementation of insurance products; 9999 Carver Road, Suite 130, Cincinnati, OH 45242; 20 hours per month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan M Farlow'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

September 28, 2021 - Present

OCTAVIA WEALTH ADVISORS LLC

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

RIA

CRD#: 306909

Cincinnati, OH

Current

October 14, 2021 - Present

PURSHE KAPLAN STERLING INVESTMENTS

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

CRD#: 35747

Cincinnati, OH

Past

August 16, 2018 - September 24, 2021

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

CINCINNATI, OH

Past

August 16, 2018 - September 24, 2021

UBS FINANCIAL SERVICES INC.

CRD#: 8174

CINCINNATI, OH

Past

August 12, 2016 - August 3, 2018

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

CINCINNATI, OH

Past

August 12, 2016 - August 3, 2018

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

CINCINNATI, OH

Past

July 14, 2015 - July 20, 2016

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

WEST CHESTER, OH

Past

June 4, 2013 - July 20, 2016

EQUITABLE ADVISORS, LLC

CRD#: 6627

WEST CHESTER, OH

Past

January 22, 2013 - June 4, 2013

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

June 21, 2011 - December 31, 2012

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

SCHENECTADY, NY

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
(9/28/2021)

Ohio
(10/14/2021)

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 65

Date: 6/16/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/6/2013

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: 11/25/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/20/2011

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.

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Advisor Monitoring

Firm Stability Insights

Susan M. Farlow

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan M Farlow's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

THE LEADERS GROUP, INC.

VOYA FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

OCTAVIA WEALTH ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/16/2015

Series 63

Date: 5/6/2013

SIE

Date: 10/1/2018

Series 7

Date: 11/25/2013

Series 6

Date: 6/20/2011

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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