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Austin Cua

Potentia Wealth

San Jose, CA

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Current Employers
Potentia Wealth

1226 Lincoln Ave Suite 200, San Jose, CA 95125 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-12-08
CA RA APPROVED 2025-01-01
  • TX RA
    APPROVED
    Since 2025-12-08
  • CA RA
    APPROVED
    Since 2025-01-01

Branch Locations

1226 Lincoln Ave Suite 200, San Jose, CA 95125 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial, Llc San Jose CA 01/2020 05/2023
Shift Technologies San Francisco CA 05/2017 05/2019
Loyola University Of Chicago Chicago IL 08/2009 01/2018
Potentia Wealth San Jose CA 02/2021 08/2023
Mariner Independent Advisor Network Overland Park KS 08/2023 03/2024
Potentia Ria, Llc San Jose CA 04/2024 Present
Raroque Wealth Management San Jose CA 02/2018 01/2021
  • 01/2020 → 05/2023
    Lpl Financial, Llc
    San Jose, CA
  • 05/2017 → 05/2019
    Shift Technologies
    San Francisco, CA
  • 08/2009 → 01/2018
    Loyola University Of Chicago
    Chicago, IL
  • 02/2021 → 08/2023
    Potentia Wealth
    San Jose, CA
  • 08/2023 → 03/2024
    Mariner Independent Advisor Network
    Overland Park, KS
  • 04/2024 → Present
    Potentia Ria, Llc
    San Jose, CA
  • 02/2018 → 01/2021
    Raroque Wealth Management
    San Jose, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-07-15
  • S66 Uniform Combined State Law Examination
    2020-07-15
Designations
Other Names
  • Austin James Cua

View on SEC IAPD

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Other Offices

J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
PFG ADVISORS · San Jose, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
WELLS FARGO CLEARING SERVICES, LLC · SAN JOSE, CA
J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
EQUITABLE ADVISORS, LLC · CAMPBELL, CA
ROLO VENTURES MANAGEMENT LLC · SAN JOSE, CA

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