Erik M. Sartin

THE PLANNERS

FORT COLLINS, CO 80521

Some features on this profile are disabled

CRD#: 6089362

Professional summary

Erik Marcus Sartin, who also goes by Erik M Sartin, is a registered financial advisor currently at THE PLANNERS INC. located in Fort Collins, Colorado.

Erik is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Erik has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Erik M Sartin

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.

I am a licensed insurance agent and hold insurance broker contracts with numerous insurance companies. Wherever prudent, I recommend life insurance, disability insurance, long-term care insurance, and fixed annuities to clients. I am part owner of Inicio Inc., a technology company that develops financial software. I am also the President of Inicio and serve in an executive and management role in the company. I own Erik Sartin LLC, an entity which provides administrative support services to my financial planning practice. Erik Sartin is a president of Inicio Inc.; Investment related: No; Location: 320 East Vine Drive Suite 120 Fort Collins CO 80524; Description: Technology company that provides software for Investment Advisors.; Responsibilities Duties: Executive Duties; Start date: 2024-04-01; Hours devoted to business during trading hours: 80; Hours devoted to business outside trading hours: 0; Percentage of total yearly compensation expected to be derived from the business: 10.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erik Marcus Sartin's 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®

None

Experience

Current

August 18, 2023 - Present

THE PLANNERS INC.

Office #1: 315 W Oak Street Suite 702, Fort Collins, CO 80521

RIA

CRD#: 326556

FORT COLLINS, CO

Past

January 31, 2013 - August 17, 2023

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

FORT COLLINS, CO

Past

July 18, 2012 - August 17, 2023

PARK AVENUE SECURITIES LLC

CRD#: 46173

FORT COLLINS, CO

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

Colorado
(8/18/2023)

IAR

Texas
(8/18/2023)

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: 12/4/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/17/2012

General Securities Representative Examination

Current Firm

THE PLANNERS INC.

CRD#: 326556 / SEC#:

Colorado

Registered Investment Advisory firm - (7/25/2023 Approved)

Texas

Registered Investment Advisory firm - (6/23/2023 Conditional Restricted)

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

315 W Oak Street Suite 702, Fort Collins, CO 80521

Mailing Address

Phone number

(970) 658-9863

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	317
AUM (Assets Under Management)	$ 27,443,464

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.

Similar Advisors

Dalton Stockton

WELLS FARGO CLEARING SERVICES, LLC

IAR

ST. LOUIS, MO

Kenneth Dew

ALLSTATE FINANCIAL SERVICES, LLC

LINCOLN, NE

John Friedman

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEW YORK, NY

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Erik M. Sartin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erik Marcus Sartin's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE PLANNERS INC.

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/4/2012

SIE

Date: 10/1/2018

Series 7

Date: 7/17/2012

Current Firm

THE PLANNERS INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

THE PLANNERS INC.

TRUST BUT VERIFY

Similar Advisors