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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 2020-02-11
  • MA RA
    APPROVED
    Since 2020-02-11

Branch Locations

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

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
St. Germain Securities, Inc Northampton MA 08/2010 12/2024
St. Germain Investment Management, Inc. Northampton MA 08/2010 Present
  • 08/2010 → 12/2024
    St. Germain Securities, Inc
    Northampton, MA
  • 08/2010 → Present
    St. Germain Investment Management, Inc.
    Northampton, MA
Previous Registrations
  • 2019-04-08 → 2021-01-04
    New England Capital
    Northampton, MA
  • 2012-06-19 → 2018-12-31
    New England Capital
    Northampton, MA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-02-01
  • S66 Uniform Combined State Law Examination
    2011-02-01

View on SEC IAPD

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