Craig S. Pine

POTENTIA WEALTH

SAN JOSE, CA 95125

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CRD#: 5326216

Professional summary

Craig Steven Pine, who also goes by Craig Steven Pine Mr., is a registered financial advisor currently at POTENTIA WEALTH located in San Jose, California and LPL FINANCIAL LLC located in San Jose, California.

Craig is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Craig has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Aliases

Craig Steven Pine Mr.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Craig Steven Pine'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

April 2, 2024 - Present

POTENTIA WEALTH

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

RIA

CRD#: 329135

SAN JOSE, CA

Current

June 13, 2007 - Present

LPL FINANCIAL LLC

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

RIA

CRD#: 6413

SAN JOSE, CA

Past

July 23, 2025 - July 14, 2026

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN JOSE, CA

Past

July 21, 2016 - April 3, 2024

MARINER ADVISOR NETWORK

RIA

CRD#: 283824

San Jose, CA

Past

July 16, 2007 - April 26, 2017

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN JOSE, 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".

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.

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

Arizona
(1/5/2012)

Arkansas
(10/23/2020)

IAR

California
(4/2/2024)

California
(7/16/2026)

Nevada
(9/19/2023)

Oregon
(1/9/2019)

Utah
(5/1/2017)

Washington
(1/12/2018)

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 66

Date: 7/13/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/12/2007

General Securities Representative Examination

SRO Registrations

FINRA

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Craig S. Pine

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Craig Steven Pine's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MARINER ADVISOR NETWORK

LPL FINANCIAL LLC

Primary Firm SEC Registration

POTENTIA WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 7/13/2007

SIE

Date: 10/1/2018

Series 7

Date: 6/12/2007

FINRA

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

Contact information

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