Anna Alferova

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CRD#: 6860246

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Anna Alferova, who also goes by Anna Saldivia, was a registered financial professional .

Anna is a previously registered financial professional and started their career in finance in 2017. Anna had worked at 5 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Anna Saldivia

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.

1) 04/17/2023 - ALIGNE WEALTH ADVISORS INVESTMENT MGMT (AWAIM) - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 4/17/2023 2) 04/17/2023 - Meditation Instructor - Not Investment Related - Santa Monica, CA - part time Meditation Instructor - Start Date 2/1/2022 - 16-20 Hours Per Month 3) 05/12/2023 - Aligne Wealth Advisors Investment Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Advisor - Start Date 4/17/2023 - 144 Hours Per Month/ 8 Hours During Securities Trading - Time Spent 90% - I provide investment advisory services through Aligne Wealth Advisors Investment Management, an independent investment advisor firm. I started this business activity in 4/2023. I expect to spend approximately 144 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4) Anna Alferova is a Breathwork Meditation Facilitator at Tranquilebrium; Is the business investment related: No; Location of the business: 827 4th St Santa Monica California 90403; Responsibilities Duties: Facilitation of a Breathwork Meditation; Start date with business: 2023-01-01; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 20; Percentage of total yearly compensation expected to be derived from the business: 0; Contact person at the organization: Anna Alferova.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

April 21, 2023 - April 3, 2024

ALIGNE WEALTH ADVISORS INVESTMENT MANAGEMENT (AWAIM)

RIA

CRD#: 321735

SANTA MONICA, CA

Past

April 17, 2023 - April 17, 2023

LPL FINANCIAL LLC

RIA

CRD#: 6413

LOS ANGELES, CA

Past

April 17, 2023 - April 16, 2024

LPL FINANCIAL LLC

CRD#: 6413

LOS ANGELES, CA

Past

February 12, 2019 - August 9, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BEVERLY HILLS, CA

Past

February 12, 2019 - August 9, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BEVERLY HILLS, CA

Past

March 19, 2018 - October 3, 2018

RBC CAPITAL MARKETS, LLC

CRD#: 31194

BEVERLY HILLS, CA

Past

November 29, 2017 - March 15, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

LOS ANGELES, 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".

ALIGNE WEALTH ADVISORS INVESTMENT MANAGEMENT (AWAIM)

ALIGNE WEALTH ADVISORS INVESTMENT MANAGEMENT (AWAIM) | ALIGNE WEALTH PRESERVATION & INSURANCE SERVICES, LLC.

CRD#: 321735 / SEC#: 801-125833

RIA

Registered Investment Advisory firm - (6/9/2022 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 11/20/2018

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/14/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/29/2017

General Securities Representative Examination

Current Firm

ALIGNE WEALTH ADVISORS INVESTMENT MANAGEMENT (AWAIM)

ALIGNE WEALTH ADVISORS INVESTMENT MANAGEMENT (AWAIM) | ALIGNE WEALTH PRESERVATION & INSURANCE SERVICES, LLC.

CRD#: 321735 / SEC#: 801-125833

RIA

Registered Investment Advisory firm - (6/9/2022 Approved)

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Contact information

Main Address

1801 Century Park East Suite 1440, Los Angeles, CA 90067

Mailing Address

Phone number

(310) 795-0622

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AWAIM FORM ADV PART 2A (9/10/2025)

Regulatory assets under management

Total Number of Accounts	311
AUM (Assets Under Management)	$ 168,815,330

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.

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Firm Stability Insights

Anna Alferova

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RBC CAPITAL MARKETS, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

ALIGNE WEALTH ADVISORS INVESTMENT MANAGEMENT (AWAIM)

State Registrations and Notice Filings

Exams

Series 66

Date: 11/20/2018

Series 7TO

Date: 12/14/2022

SIE

Date: 10/1/2018

Series 7

Date: 11/29/2017

Current Firm

ALIGNE WEALTH ADVISORS INVESTMENT MANAGEMENT (AWAIM)

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALIGNE WEALTH ADVISORS INVESTMENT MANAGEMENT (AWAIM)

TRUST BUT VERIFY

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