Sandra Louise Swanson
Investment Adviser Representative at Potentia Wealth
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Sandra Louise Swanson is an investment adviser representative with Potentia Wealth in San Jose, CA, where they have been registered since 2025. They have worked in the securities industry since 2017 and have been registered with 3 firms, including Mariner Independent and LPL Financial LLC. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in California.
Office
Advisors at this office: 6
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- California
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- LPL Financial LLCOct 2016 – Jun 2021San Jose, CA
- Strategic Wealth Advisors GroupNov 2016 – Nov 2016San Jose, CA
- Potentia WealthSep 2014 – Apr 2024San Jose, CA
- Potentia WealthApr 2024 – no end date reportedSan Jose, CA
- Mariner IndependentNov 2016 – Apr 2024San Jose, CA
- LPL Financial LLCOct 2016 – Feb 2017San Jose, CA
Official records & sources
Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Potentia Wealth
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Life Planning, Wealth Management, Family Portfolio management, Wealth Transfer, and Potentia Tax. Investment management follows a three-part process (Core, Satellites, and Fixed Income) benchmarked to the S&P 500, using mutual funds, individual stocks, thematic investments, bonds, and alternative investments, tailored to client goals, life stage, and risk tolerance.
Client types the firm serves
Firm assets under management
$500M–$1B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 8
- Offices listed on AdvisorFinder:
- 1
- Main office:
- San Jose, CA
- SEC file number:
- 801-129366
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of March 31, 2026
View full firm profileOther advisors at Potentia Wealth
7 other advisors in the directory
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Other advisors whose filed branch office is in the same city.
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Sandra Louise Swanson has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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