Kevin C. Swanson

Current Employers

Employment History

• 06/2008 → 01/2022
  Lpl Financial Llc
  San Jose, CA
• 07/2016 → 03/2024
  Mariner Independent Advisor Network, Llc
  San Jose, CA
• 10/2023 → 03/2024
  Potentia Ria, Llc
  San Jose, CA
• 04/2024 → Present
  Potentia Ria. Llc
  San Jose, CA

Previous Registrations

• 2016-07-25 → 2024-04-03
  Mariner Advisor Network
  San Jose, CA
• 2008-06-18 → 2016-12-23
  Lpl Financial Llc
  Los Gatos, CA
  San Diego, CA
  San Jose, CA
  San Jose, CA
• 2005-03-25 → 2008-06-06
  Edward Jones
  San Jose, CA
• 2004-03-09 → 2005-03-28
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  San Jose, CA

Other Businesses

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

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-10-04
• S66 Uniform Combined State Law Examination
  2003-12-30

Designations

Other Names

• Kevin Swanson