AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
SS

Sarah R. Szabo

SPINNAKER ASSET MANAGEMENT
WARWICK, RI 02886
Some features on this profile are disabled
CRD#: 7055369
SS

Professional summary

Sarah Riordan Szabo, who also goes by Sarah M Riordan, is a registered financial advisor currently at SPINNAKER ASSET MANAGEMENT INC. located in Warwick, Rhode Island.

Sarah is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Sarah has worked at 3 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Sarah M Riordan

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.
[Rental Property; 39 old Pine Road Narragansett, RI 02882;01/2013;Owner;1 hour per month; 1 hour during trading hours] [Insurance Brokering ; Appointed with outside carriers for the purpose of brokering non-registered products; 254 Robinson Street Wakefield RI 02879; Start Date 09/2023; Role/Title: Insurance Broker; Investment Related; 5 hours per month; 5 hours per month during securities trading hours] [South County Youth Lacrosse; The president of the youth lacrosse league; 36 South River Drive Narragansett, RI 02882; Start Date 11/2023; Role/Title: Board Member; Not Investment Related; 10 hours per month; 0 hours per month during securities trading hours; organize a team of volunteers to run the youth lacrosse league]

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sarah Riordan Szabo'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

September 3, 2024 - Present

SPINNAKER ASSET MANAGEMENT INC.

Office #1: 250a Centerville Road Suite 2, Warwick, RI 02886
RIA
CRD#: 148489
WARWICK, RI
Past

August 6, 2024 - September 13, 2024

EAGLE STRATEGIES LLC

RIA
CRD#: 110826
WAKEFIELD, RI
Past

January 10, 2020 - September 13, 2024

NYLIFE SECURITIES LLC

BD
CRD#: 5167
WAKEFIELD, RI

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
Massachusetts
(12/10/2024)
IAR
Rhode Island
(9/3/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/2/2024
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/11/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/10/2020
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/7/2019
Securities Industry Essentials Examination

Current Firm

SA
SPINNAKER ASSET MANAGEMENT INC.
SPINNAKER ASSET MANAGEMENT INC | SPINNAKER ASSET MANAGEMENT INC.

CRD#: 148489 / SEC#:

Florida
Registered Investment Advisory firm - (1/21/2022 Approved)
Massachusetts
Registered Investment Advisory firm - (8/29/2023 Approved)
Rhode Island
Registered Investment Advisory firm - (9/25/2008 Approved)
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
250a Centerville Road Suite 2, Warwick, RI 02886
Mailing Address
250a Centerville Road Suite 2, Warwick, RI 02886
Phone number
(401) 884-3210
Established
Firm type
Fiscal year end
# of Employees
4

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts309
AUM (Assets Under Management)$ 27,408,903

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.

Company Information

SPINNAKER ASSET MANAGEMENT INC.

CRD#: 148489Warwick, RI 02886

TRUST BUT VERIFY

Monitor Sarah Szabo

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

DL
David LoughlinAdvisorCheck Check Mark
CITIZENS SECURITIES, INC.
IAR
RR
WARWICK, RI
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics