Elizabeth A. Saghi

AVALAN

Santa Barbara, CA 93101

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CRD#: 707605

Professional summary

Elizabeth Ann Saghi, CFP® is a registered financial advisor currently at AVALAN, LLC located in Santa Barbara, California.

Elizabeth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1980. Elizabeth has worked at 8 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 15, Series 3 and Series 5 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.

InAlliance Financial Planning; Registered Investment Advisor; Investment Related; Santa Barbara, CA; President/Investment Advisor Representative; 03/2015; 75% of time spent on this business.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Elizabeth Ann Saghi'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

September 25, 2017 - Present

AVALAN, LLC

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

RIA

CRD#: 156109

Santa Barbara, CA

Past

August 10, 2017 - October 16, 2017

ABUNDANT WEALTH PARTNERS, LLC

RIA

CRD#: 284533

SANTA BARBARA, CA

Past

January 6, 2016 - January 6, 2018

IN ALLIANCE FINANCIAL PLANNING

RIA

CRD#: 281518

Santa Barbara, CA

Past

March 5, 1997 - June 29, 2000

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

September 24, 1991 - August 4, 1992

HAMBRECHT & QUIST LLC

CRD#: 940

SAN FRANCISCO, CA

Past

October 22, 1990 - April 9, 1991

BNP PARIBAS SECURITIES CORP.

CRD#: 15794

NEW YORK, NY

Past

March 11, 1983 - March 3, 1986

PERSHING LLC

CRD#: 7560

Past

March 18, 1982 - February 7, 1983

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

April 24, 1980 - July 17, 1981

MORGAN STANLEY DW INC.

CRD#: 7556

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
(9/25/2017)

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 65

Date: 4/11/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/11/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 4/9/1997

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/4/1997

General Securities Representative Examination

General Industry/Product Exam

Series 15

Date: 10/26/1983

Foreign Currency Options Examination

General Industry/Product Exam

Series 3

Date: 10/26/1983

National Commodity Futures Examination

General Industry/Product Exam

Series 5

Date: 6/19/1982

Interest Rate Options 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)

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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.

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Advisor Monitoring

Firm Stability Insights

Elizabeth A. Saghi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Elizabeth Ann Saghi's CRS (Customer Relationship Summary).

Certified licenses

Experience

ABUNDANT WEALTH PARTNERS, LLC

IN ALLIANCE FINANCIAL PLANNING

MORGAN STANLEY DW INC.

HAMBRECHT & QUIST LLC

BNP PARIBAS SECURITIES CORP.

PERSHING LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

AVALAN, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/11/1997

Series 63

Date: 3/11/1997

Series 31

Date: 4/9/1997

Series 7

Date: 3/4/1997

Series 15

Date: 10/26/1983

Series 3

Date: 10/26/1983

Series 5

Date: 6/19/1982

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

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