Kevin C. Swanson

POTENTIA WEALTH

San Jose, CA 95125

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CRD#: 4723624

Professional summary

Kevin C. Swanson, CFP®, who also goes by Kevin Swanson, is a registered financial advisor currently at POTENTIA WEALTH located in San Jose, California.

Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Kevin has worked at 5 firms and has passed the Series 65, Series 66, Series 7TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kevin Swanson

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) 3/6/2018 - Kevin C Swanson Enterprises, Inc - Investment Related - At reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date:1/2/2017 - 50 Hours Per Month/40 Hours During Trading. 2) 8/20/2018 - Enabled Nation, Inc - Investment Related - At Reported Business Location(s)- Tax Prep/Accounting/CPA - Start Date:05/01/2018 - 10 Hours Per Month/5 Hours During Trading. 3) 9/14/2020 - Potentia, Inc - DBA: Potentia Wealth - Investment Related - At Reported Business Location(s) - Started 09/10/2020 - 40 Hours Per Month During Securities Trading. 4) Fixed Insurance - Investment Related - San Jose, CA - Fixed Insurance Sales - Insurance Agent -Sale of fixed insurance products 5) San Jose State Tower Foundation; San Jose, CA; Foundation; Volunteer for the Finance and Investment Committee; 06/2005; 6 hrs/qtr; 2 hrs/qtr during securities trading hours; Duties are to monitor the investments of the Tower Foundation to assure the portfolio follows investment guidelines and make investment recommendations to the board

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin C. Swanson'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: 2019

Experience

Current

April 1, 2024 - Present

POTENTIA WEALTH

Office #1: 1226 Lincoln Ave Suite 200, San Jose, CA 95125

RIA

CRD#: 329135

San Jose, CA

Past

July 25, 2016 - April 3, 2024

MARINER ADVISOR NETWORK

RIA

CRD#: 283824

San Jose, CA

Past

June 18, 2008 - December 23, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN JOSE, CA

Past

June 18, 2008 - January 21, 2022

LPL FINANCIAL LLC

CRD#: 6413

SAN JOSE, CA

Past

March 25, 2005 - June 6, 2008

EDWARD JONES

RIA

CRD#: 250

SAN JOSE, CA

Past

March 24, 2005 - June 6, 2008

EDWARD JONES

CRD#: 250

SAN JOSE, CA

Past

March 9, 2004 - March 28, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SAN JOSE, CA

Past

February 24, 2004 - March 28, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, 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".

POTENTIA WEALTH

POTENTIA RIA, LLC | POTENTIA WEALTH

CRD#: 329135 / SEC#: 801-129366

RIA

Registered Investment Advisory firm - (1/12/2024 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.

Highlighted states indicate IAR registrations

IAR

Arizona
(5/14/2024)

IAR

California
(4/2/2024)

IAR

Colorado
(4/3/2024)

IAR

Florida
(6/15/2024)

IAR

New York
(4/3/2024)

IAR

Oregon
(4/15/2024)

IAR

Texas
(4/1/2024)

IAR

Washington
(4/4/2024)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/4/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 12/30/2003

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/4/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/9/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/4/2024

General Securities Principal Examination

Current Firm

POTENTIA WEALTH

POTENTIA RIA, LLC | POTENTIA WEALTH

CRD#: 329135 / SEC#: 801-129366

RIA

Registered Investment Advisory firm - (1/12/2024 Approved)

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Contact information

Main Address

1226 Lincoln Ave Suite 200, San Jose, CA 95125

Mailing Address

Phone number

(408) 288-7886

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

POTENTIA 2025 ANNUAL ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	1,162
AUM (Assets Under Management)	$ 485,539,198

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

Kevin C. Swanson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin C. Swanson's CRS (Customer Relationship Summary).

Certified licenses

Experience

MARINER ADVISOR NETWORK

LPL FINANCIAL LLC

LPL FINANCIAL LLC

EDWARD JONES

EDWARD JONES

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

POTENTIA WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 10/4/2006

Series 66

Date: 12/30/2003

Series 7TO

Date: 2/4/2024

SIE

Date: 10/1/2018

Series 7

Date: 12/9/2003

Series 24

Date: 2/4/2024

Current Firm

POTENTIA WEALTH

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

POTENTIA WEALTH

TRUST BUT VERIFY

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