Austin Cua
POTENTIA WEALTH
San Jose, CA 95125
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CRD#: 6909514
Professional summary
Austin Cua, CFP®, who also goes by Austin James Cua, is a registered financial advisor currently at POTENTIA WEALTH located in San Jose, California.
Austin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Austin has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Austin James Cua
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. 4/23/2021 - Potentia Wealth - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 2/1/2021 - 1200 Hours Per Month/8 Hours During Securities Trading. 2. 6/15/2021 - Strategic Wealth Advisors Group, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Admin. - Started 06/11/2021 - 168 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide administrative support to Strategic Wealth Advisor Group, LLC, an independent investment advisor firm. I started this business activity in 06/2021. I expect to spend approximately 168 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. 6/15/2021 - Strategic Wealth Advisors Group, LLC - DBA: Potentia - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Admin. - Started 06/11/2021 - 168 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide administrative support to Strategic Wealth Advisor Group, LLC, an independent investment advisor firm. I started this business activity in 06/2021. I expect to spend approximately 168 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. 6/15/2021 - Strategic Wealth Advisors Group - DBA: Potentia Wealth - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Admin. - Started 06/11/2021 - 168 Hours Per Month/8 Hours During Securities Trading - I provide administrative support to Strategic Wealth Advisor Group, LLC, an independent investment advisor firm. I started this business activity in 06/2021. I expect to spend approximately 168 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. 5. 6/24/2021 - Strategic Wealth Advisors Group - DBA: Potentia - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 06/11/2021 - 168 Hours Per Month/8 During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Austin Cua'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®
CFP®
Start date: 2023
Experience
Current
April 2, 2024 - Present
POTENTIA WEALTH
Office #1: 1226 Lincoln Ave Suite 200, San Jose, CA 95125RIA
CRD#: 329135
San Jose, CA
Past
August 18, 2023 - April 2, 2024
MARINER ADVISOR NETWORK
RIA
CRD#: 283824
San Jose, CA
Past
January 13, 2021 - October 28, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
SAN JOSE, CA
Past
January 22, 2020 - May 30, 2023
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(4/2/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/22/2020
General Securities Representative ExaminationGeneral 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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