Ethan L. Sartain
Professional summary
Ethan Lee Sartain, who also goes by Ethan Sartain, is a registered financial advisor currently at ALIGHT FINANCIAL ADVISORS, LLC located in Longs, South Carolina and ALIGHT FINANCIAL SOLUTIONS, LLC located in Charlotte, North Carolina.
Ethan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Ethan has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Ethan Lee Sartain's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 6, 2023 - Present
ALIGHT FINANCIAL ADVISORS, LLC
April 29, 2022 - Present
ALIGHT FINANCIAL SOLUTIONS, LLC
Office #1: 9335 Harris Corners Parkway Ste 150, Charlotte, NC 28269December 18, 2020 - February 6, 2022
J.P. MORGAN SECURITIES LLC
Primary Firm SEC Registration
ALIGHT FINANCIAL ADVISORS, LLC
CRD#: 158744 / SEC#: 801-72679
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/8/2025)
(10/8/2025)
(10/8/2025)
(10/8/2025)
Exams
Series 7TO
Date: 10/25/2022
General Securities Representative ExaminationSeries 6TO
Date: 12/18/2020
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
ALIGHT FINANCIAL ADVISORS, LLC
CRD#: 158744 / SEC#: 801-72679
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 197,089 |
| AUM (Assets Under Management) | $ 30,882,928,556 |
Red Flags
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