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1500 Main St 25Th Floor, Springfield, MA 01115-1001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2020-03-16 |
Branch Locations
1500 Main St 25Th Floor, Springfield, MA 01115-1001 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| St. Germain Securities, Inc | Northampton | MA | 12/1983 | 12/2024 |
| St. Germain Investment Management | Northampton | MA | 12/1983 | Present |
Gage-Wiley & Co, Inc.,owner of an investment related entity that no longer operates as a registered entity, however payments are still paid through the entity for various non-commission related activities. Time engaged is limited to 5-10 market hours per week. Relationship began in December 1983, entity withdrew registration in 2021.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-12-15 |
| S63 | Uniform Securities Agent State Law Examination | 1982-07-01 |
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