Eric D. Sartor

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CRD#: 5582971

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.

Eric D Sartor, who also goes by Eric Desormeau Sartor, was a registered financial professional .

Eric is a previously registered financial professional and started their career in finance in 2011. Eric had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Eric Desormeau Sartor

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)

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

June 21, 2016 - May 4, 2017

ARAGON CAPITAL LLC

RIA

CRD#: 166958

FORT LAUDERDALE, FL

Past

June 13, 2011 - July 12, 2016

MORGAN STANLEY

RIA

CRD#: 149777

CORAL GABLE, FL

Past

April 1, 2011 - July 12, 2016

MORGAN STANLEY

CRD#: 149777

CORAL GABLE, FL

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".

ARAGON CAPITAL LLC

CRD#: 166958 / SEC#: 801-121982

RIA

Registered Investment Advisory firm - (7/30/2021 Approved)

Florida

Registered Investment Advisory firm - (8/12/2021 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.

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: 6/9/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 7/12/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/31/2011

General Securities Representative Examination

Current Firm

ARAGON CAPITAL LLC

CRD#: 166958 / SEC#: 801-121982

RIA

Registered Investment Advisory firm - (7/30/2021 Approved)

Florida

Registered Investment Advisory firm - (8/12/2021 Terminated)

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Contact information

Main Address

101 Ne 3rd Ave Suite 1500, Fort Lauderdale, FL 33301

Mailing Address

Phone number

(786) 529-6540

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (9/23/2025)

ADV 3 - FORM CRS (3/28/2025)

Regulatory assets under management

Total Number of Accounts	1,066
AUM (Assets Under Management)	$ 285,018,221

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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Eric D. Sartor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ARAGON CAPITAL LLC

MORGAN STANLEY

MORGAN STANLEY

Primary Firm SEC Registration

ARAGON CAPITAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/9/2011

SIE

Date: 7/12/2016

Series 7

Date: 3/31/2011

Current Firm

ARAGON CAPITAL LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARAGON CAPITAL LLC

TRUST BUT VERIFY

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