RK
Raghunandan Krishnan
POTENTIA WEALTH
San Jose, CA 95125
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CRD#: 4768762
RK
Professional summary
Raghunandan Krishnan is a registered financial advisor currently at POTENTIA WEALTH located in San Jose, California and LPL FINANCIAL LLC located in San Jose, California.
Raghunandan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Raghunandan has worked at 4 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
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. 9/1/2020 - POTENTIA - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 08/06/2020 - 160 Hours Per Month/3 Hours During Securities Trading. 2. 09/28/2020 - POTENTIA WEALTH - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 09/30/2020 - 160 Hours Per Month/During Securities Trading. 3. 04/02/2024 - POTENTIA RIA, LLC - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 04/01/2024 - 100 Hours Per Month/ 20 Hours During Trading - I provide investment advisory services thru Potentia RIA, LLC, an independent investment advisor firm. I started this business activity in 4/2024. I expect to spend approximately 100 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD.The firm is separate from and independent of LPL Financial. 4. 06/27/2024 - OLD LANE SOLUTIONS LLC - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 02/13/2019 - 12 Hours Per Month/ 1 Hour During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Raghunandan Krishnan's 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®
NoneExperience
Current
April 1, 2024 - Present
POTENTIA WEALTH
Office #1: 1226 Lincoln Ave Suite 200, San Jose, CA 95125RIA
CRD#: 329135
San Jose, CA
Current
November 7, 2019 - Present
LPL FINANCIAL LLC
Office #1: 1226 Lincoln Ave Ste 200, San Jose, CA 95125RIA
BD
CRD#: 6413
San Jose, CA
Past
December 20, 2019 - April 2, 2024
MARINER ADVISOR NETWORK
RIA
CRD#: 283824
San Jose, CA
Past
June 3, 2004 - November 2, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SAN JOSE, CA
Past
May 11, 2004 - November 2, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
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".
PW
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.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
Arizona(4/13/2021)
RR
Arkansas(4/13/2021)
RR
California(12/18/2019)
IAR
California(4/2/2024)
RR
Colorado(4/13/2021)
RR
Connecticut(4/13/2021)
RR
Delaware(4/13/2021)
RR
District of Columbia(5/9/2024)
RR
Florida(4/13/2021)
RR
Georgia(4/13/2021)
RR
Hawaii(4/13/2021)
RR
Idaho(4/13/2021)
RR
Indiana(5/9/2024)
RR
Kansas(5/9/2024)
RR
Kentucky(4/13/2021)
RR
Massachusetts(4/13/2021)
RR
Michigan(5/9/2024)
RR
Minnesota(5/9/2024)
RR
Missouri(4/13/2021)
RR
Montana(5/9/2024)
RR
Nevada(4/13/2021)
RR
New Jersey(4/13/2021)
RR
New Mexico(4/13/2021)
RR
New York(4/13/2021)
RR
North Carolina(4/14/2021)
RR
North Dakota(5/9/2024)
RR
Ohio(4/14/2021)
RR
Oregon(4/13/2021)
RR
Pennsylvania(4/13/2021)
RR
South Carolina(4/13/2021)
RR
South Dakota(5/9/2024)
RR
Tennessee(7/23/2024)
RR
Texas(4/13/2021)
IAR
Texas(4/1/2024)
RR
Utah(4/13/2021)
RR
Vermont(4/13/2021)
RR
Virginia(4/13/2021)
RR
Washington(4/13/2021)
RR
Wisconsin(4/13/2021)
RR
Wyoming(4/13/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/7/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PW
POTENTIA WEALTH
POTENTIA RIA, LLC | POTENTIA WEALTH
CRD#: 329135 / SEC#: 801-129366
RIA
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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
14
SEC notice filing (8 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,162 |
| AUM (Assets Under Management) | $ 485,539,198 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
