Kathryn E. Courain

AVALAN

Santa Barbara, CA 93101

Some features on this profile are disabled

CRD#: 4062768

Professional summary

Kathryn E Courain, CFP® is a registered financial advisor currently at AVALAN, LLC located in Santa Barbara, California.

Kathryn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Kathryn has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

FFR FINANCIAL & INSURANCE SERVICES, LLC DBA THE JR BAKER GROUP. OPERATIONS MANAGER. INVESTMENT RELATED, 100% DURING TRADING BUSINESS HOURS, 40 HOURS PER WEEK

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathryn E Courain's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 2016

Experience

Current

January 29, 2016 - Present

AVALAN, LLC

Office #1: 233 E Carillo Suite B, Santa Barbara, CA 93101

RIA

CRD#: 156109

Santa Barbara, CA

Past

May 7, 2013 - December 23, 2014

MUTUAL SECURITIES, INC.

CRD#: 13092

BUELLTON, CA

Past

October 1, 2010 - February 2, 2016

THE J R BAKER GROUP

RIA

CRD#: 132931

BUELLTON, CA

Past

December 25, 2008 - May 1, 2013

ARETE WEALTH MANAGEMENT, LLC

CRD#: 44856

BUELLTON, CA

Past

June 26, 2008 - December 24, 2008

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

BUELLTON, CA

Past

June 10, 2002 - June 25, 2008

PRIVATE CONSULTING GROUP, INC.

CRD#: 45053

BUELLTON, 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".

AVALAN, LLC

AVALAN | AVALAN, LLC

CRD#: 156109 / SEC#: 801-107405

RIA

Registered Investment Advisory firm - (3/16/2016 Approved)

California

Registered Investment Advisory firm - (7/27/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(1/29/2016)

IAR

Texas
(4/5/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/30/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/3/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/23/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/25/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/4/2003

General Securities Principal Examination

Current Firm

AVALAN, LLC

AVALAN | AVALAN, LLC

CRD#: 156109 / SEC#: 801-107405

RIA

Registered Investment Advisory firm - (3/16/2016 Approved)

California

Registered Investment Advisory firm - (7/27/2016 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

233 E Carillo Suite B, Santa Barbara, CA 93101

Mailing Address

Phone number

(805) 962-7725

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AVALAN, LLC PART 2A (9/23/2025)

Regulatory assets under management

Total Number of Accounts	629
AUM (Assets Under Management)	$ 488,859,570

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

David Given

CURTIS ADVISORY GROUP, LLC

IAR

Santa Barbara, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kathryn E. Courain

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathryn E Courain's CRS (Customer Relationship Summary).

Certified licenses

Experience

MUTUAL SECURITIES, INC.

THE J R BAKER GROUP

ARETE WEALTH MANAGEMENT, LLC

KESTRA INVESTMENT SERVICES, LLC

PRIVATE CONSULTING GROUP, INC.

Primary Firm SEC Registration

AVALAN, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/30/2010

Series 63

Date: 2/3/2003

SIE

Date: 12/23/2014

Series 7

Date: 10/25/2001

Series 24

Date: 4/4/2003

Current Firm

AVALAN, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AVALAN, LLC

TRUST BUT VERIFY

Similar Advisors