Kathryn Courain has been Shareholder of Avalan since April 2016, is a control person of the firm and directly owns between 10% and 25% of it.
Avalan, LLC is a Santa Barbara, CA firm with $622M under management, 319 clients and 11 advisers across 3 offices, as of its March 2026 filing.
Kathryn Courain’s longest registration is the current one, 10 years at Avalan since 2016. Before joining Avalan in 2016, Kathryn Courain was registered through The J R Baker Group.
- The J R Baker Group– · 5 yearsBuellton, CA · Adviser representative · Firm CRD 132931
Investment adviser representative registrations
Kathryn Courain is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from January 2016; the most recent is Texas, in April 2021.
- CaliforniaSince 29 January 2016
- TexasResidentSince 5 April 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 30 September 2010 |
| Series 24 | General Securities Principal Examination | 4 April 2003 |
| Series 63 | Uniform Securities Agent State Law Examination | 3 February 2003 |
| Series 7 | General Securities Representative Examination | 25 October 2001 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Kathryn E Courain
- CRD
- 4062768
- Firm
- Avalan · CRD 156109
- Role
- Shareholder
- Office
- 233 E CARILLO, SUITE B, Santa Barbara, CA 93101
- Registration
- Investment adviser registration
- In the industry since
- September 2010
- Disciplinary history
- Not yet shown here · SEC record
Where does Kathryn Courain work?
Kathryn Courain has been Shareholder of Avalan, LLC since April 2016, and is a control person of the firm.
Is Kathryn Courain a financial advisor?
Yes. Kathryn Courain has a current investment-adviser registration in California and Texas, through Avalan since January 2016.
How many years of experience does Kathryn Courain have?
Kathryn Courain has 16 years in the financial industry, since September 2010, across 2 adviser firms.
What exams has Kathryn Courain passed?
Kathryn Courain has passed 4 licensing exams: the Series 7, Series 63, Series 24 and Series 66. The earliest, the Series 7, was passed in October 2001. FINRA credited Kathryn Courain with the SIE, which began in October 2018.
Where is Kathryn Courain based?
Kathryn Courain’s registered office is in Santa Barbara, CA.
Is Kathryn Courain registered with FINRA?
No. Kathryn Courain has no current broker registration.
How can I verify Kathryn Courain’s record?
Search CRD 4062768 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Kathryn Courain’s full registration record.