AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
Jeffery Dale Thompson

Jeffery D. Thompson

AVALAN
Santa Barbara, CA 93101
Some features on this profile are disabled
CRD#: 5866005
Jeffery Dale Thompson

Professional summary

Jeffery Dale Thompson, CFP®, who also goes by Jeffery Dale Thompson Jr., Jeffery Thompson, is a registered financial advisor currently at AVALAN, LLC located in Santa Barbara, California.

Jeffery is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Jeffery has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Jeffery Dale Thompson Jr. | Jeffery Thompson

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffery Dale Thompson'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: 2015

Experience

Current

January 20, 2021 - Present

AVALAN, LLC

Office #1: 233 E Carillo Suite B, Santa Barbara, CA 93101
RIA
CRD#: 156109
Santa Barbara, CA
Past

May 29, 2018 - July 30, 2020

COMPOSITION WEALTH, LLC

RIA
CRD#: 143483
LOS ANGELES, CA
Past

January 19, 2012 - June 29, 2017

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
INDIANAPOLIS, IN
Past

January 17, 2012 - June 29, 2017

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
INDIANAPOLIS, IN
Past

January 24, 2011 - January 6, 2012

EDWARD JONES

RIA
CRD#: 250
CARMEL, IN
Past

January 7, 2011 - January 6, 2012

EDWARD JONES

BD
CRD#: 250
CARMEL, IN

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".
AL
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)

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
(1/20/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/21/2011
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/29/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/6/2011
General Securities Representative Examination

Current Firm

AL
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
10

SEC notice filing (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts629
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.

Company Information

AVALAN, LLC

CRD#: 156109Santa Barbara, CA 93101

TRUST BUT VERIFY

Monitor Jeffery Thompson

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

DG
David GivenAdvisorCheck Check Mark
CURTIS ADVISORY GROUP, LLC
IAR
Santa Barbara, CA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.