Sarah S. Clapp
CHARTER OAK CAPITAL MANAGEMENT
Portsmouth, NH 03801
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CRD#: 5884280
Professional summary
Sarah Serling Clapp, CFP®, who also goes by Sarah S Clapp, Sarah Beth Serling, is a registered financial advisor currently at CHARTER OAK CAPITAL MANAGEMENT located in Portsmouth, New Hampshire.
Sarah is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Sarah has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sarah S Clapp | Sarah Beth Serling
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.
1. Sunset Point Camps, LLC; Principal; Investment related; 33 Nute Road Madbury NH 03823 Maine; Co-management of real estate investment property in Maine; Start date: 2024-12-23; 2/hrs; 2 outside securities hours; Percentage of total yearly compensation expected to be derived from the business: 10. 2. Airbnb/VRBO rental of real estate; Owner; Investment related; 69 Rock Pond Rd Rangeley Maine; Ownership interest in rental property; Start date: 2025-01-01; 1/hrs; 1 outside securities hours; Percentage of total yearly compensation expected to be derived from the business: 2. 3. REVISION SOLAR, LLC, 91 WEST MAIN ST., LIBERTY, ME, OWNERSHIP INTEREST, NON-INVESTMENT RELATED; 0/HRS ; 0 DURING SECURITIES HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Sarah Serling Clapp'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®
CFP®
Start date: 2014
Experience
Current
November 11, 2015 - Present
CHARTER OAK CAPITAL MANAGEMENT
Office #1: Two International Drive Suite 325, Portsmouth, NH 03801Office #2: 62 Portland Road Suite 37, Kennebunk, ME 04043RIA
CRD#: 120870
Portsmouth, NH
Past
April 11, 2011 - November 13, 2014
MORGAN STANLEY
RIA
CRD#: 149777
PORTSMOUTH, NH
Past
March 14, 2011 - November 13, 2014
MORGAN STANLEY
BD
CRD#: 149777
PORTSMOUTH, NH
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".
CO
CHARTER OAK CAPITAL MANAGEMENT
CHARTER OAK CAPITAL MANAGEMENT | TROIANO AND ASSOCIATES, INC. | TROIANO AND ASSOCIATES | TROIANAO AND ASSOCIATES | TODD MICHAEL CESCA | JEFFREY SCOTT TROIANO | GEORGE THURLOW | CHARTER OAK CAPITAL MANAGEMENT, LLC
CRD#: 120870 / SEC#: 801-64808
RIA
Registered Investment Advisory firm - (11/2/2005 Approved)Maine
Registered Investment Advisory firm - (12/31/2005 Terminated)Massachusetts
Registered Investment Advisory firm - (3/21/2006 Terminated)New Hampshire
Registered Investment Advisory firm - (12/31/2005 Terminated)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
Maine(11/11/2015)
IAR
New Hampshire(11/11/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CO
CHARTER OAK CAPITAL MANAGEMENT
CHARTER OAK CAPITAL MANAGEMENT | TROIANO AND ASSOCIATES, INC. | TROIANO AND ASSOCIATES | TROIANAO AND ASSOCIATES | TODD MICHAEL CESCA | JEFFREY SCOTT TROIANO | GEORGE THURLOW | CHARTER OAK CAPITAL MANAGEMENT, LLC
CRD#: 120870 / SEC#: 801-64808
RIA
Registered Investment Advisory firm - (11/2/2005 Approved)Maine
Registered Investment Advisory firm - (12/31/2005 Terminated)Massachusetts
Registered Investment Advisory firm - (3/21/2006 Terminated)New Hampshire
Registered Investment Advisory firm - (12/31/2005 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Two International Drive Suite 325, Portsmouth, NH 03801
Mailing Address
Phone number
(800) 646-5720
Established
Firm type
Fiscal year end
# of Employees
23
SEC notice filing (21 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,359 |
| AUM (Assets Under Management) | $ 1,419,829,350 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CHARTER OAK CAPITAL MANAGEMENT
CRD#: 120870Portsmouth, NH 03801TRUST BUT VERIFY
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