SS
Sandra L. Swanson
POTENTIA WEALTH
San Jose, CA 95125
Some features on this profile are disabled
CRD#: 6396379
SS
Professional summary
Sandra Louise Swanson, who also goes by Sandra Massone, Sandra Swanson, is a registered financial advisor currently at POTENTIA WEALTH located in San Jose, California.
Sandra is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Sandra has worked at 3 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sandra Massone | Sandra 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. 11/22/2019 - Strategic Wealth Advisors Group - Investment Related - At Reported Business Location(s) - Registered Registered Administrative Assistant - 160 Hours Per Month/8 Hours During Securities Trading - 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. 2. 9/9/2020 - Strategic Wealth Advisors Group - DBA: Potentia - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Admin. - Started 08/27/2020 - 20 Hours Per Month/4 Hours During Securities Trading - Time Spent 13% - I provide administrative support to Strategic Wealth Advisors Group, an independent investment advisor firm. I started this business activity in 11/9/2016. I expect to spend approximately 20 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. 3. 10/6/2020 - Strategic Wealth Advisors Group, LLC - DBA: Potentia Wealth - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - ADMIN. - Started 10/01/2020 - 20 Hours Per Month/4 Hours During Securities Trading - Time Spent 15% - I provide administrative support to Strategic Wealth Advisors Group, LLC, an independent investment advisor firm. I started this business activity in 10/2020. I expect to spend approximately 20 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.
CRS (Client Relationship Summary) - RIA
Click below to view Sandra Louise Swanson'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
May 27, 2025 - Present
POTENTIA WEALTH
Office #1: 1226 Lincoln Ave Suite 200, San Jose, CA 95125RIA
CRD#: 329135
San Jose, CA
Past
November 9, 2016 - April 3, 2024
MARINER ADVISOR NETWORK
RIA
CRD#: 283824
San Jose, CA
Past
October 18, 2016 - February 16, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
SAN JOSE, CA
Past
October 17, 2016 - June 30, 2021
LPL FINANCIAL LLC
BD
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".
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.Highlighted states indicate IAR registrations
IAR
California(5/27/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/26/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
PW
POTENTIA WEALTH
POTENTIA RIA, LLC | POTENTIA WEALTH
CRD#: 329135 / SEC#: 801-129366
RIA
Registered Investment Advisory firm - (1/12/2024 Approved)Upgrade to AdvisorCheck Premium
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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.
