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Current Employers
St. Germain Investment Management

1500 Main St 25Th Floor, Springfield, MA 01115-1001 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2022-05-10
  • MA RA
    APPROVED
    Since 2022-05-10

Branch Locations

120 King St., Northampton, MA 01060 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
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
  • 11/2011 → 06/2019
    Massmutual Life Insurance Co
    Springfield, MA
  • 12/2011 → 02/2021
    Holyoke, MA
  • 07/2019 → 02/2021
    Mass Mutual Life Insurance Company
    Holyoke, MA
  • 03/2021 → 05/2022
    Hart & Patterson Financial Group
    Amherst, MA
  • 05/2022 → 12/2024
    St. Germain Securities
    Springfield, MA
  • 05/2022 → Present
    St. Germain Investment Management, Inc.
    Northampton, MA
Previous Registrations
  • 2021-03-11 → 2022-05-18
    Hart & Patterson Financial Group
    Amherst, MA
  • 2019-09-10 → 2021-03-02
    Springfield, MA
    Hamden, CT
    Holyoke, MA
Other Businesses

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.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-08-24
S63 Uniform Securities Agent State Law Examination 2011-06-16
  • S66 Uniform Combined State Law Examination
    2019-08-24
  • S63 Uniform Securities Agent State Law Examination
    2011-06-16
Designations
Other Names
  • Mary Kate Nmn Frodema

View on SEC IAPD

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