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1500 Main St 25Th Floor, Springfield, MA 01115-1001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2022-05-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Massmutual Life Insurance Co | Springfield | MA | 11/2011 | 06/2019 |
| Mml Investors Services, Llc | Holyoke | MA | 12/2011 | 02/2021 |
| Mass Mutual Life Insurance Company | Holyoke | MA | 07/2019 | 02/2021 |
| Hart & Patterson Financial Group | Amherst | MA | 03/2021 | 05/2022 |
| St. Germain Securities | Springfield | MA | 05/2022 | 12/2024 |
| St. Germain Investment Management, Inc. | Northampton | MA | 05/2022 | Present |
Springfield Prep Charter School, Board Member, not investment related, Springfield, MA, school for children, began October 2023 as Board Member attending meetings of the board and voting on board matters, Approximately 5 non-market hours per month, no market hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-08-24 |
| S63 | Uniform Securities Agent State Law Examination | 2011-06-16 |
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