Full text of ST. GERMAIN SECURITIES, INC.'s X-17A-5 filed 2020-03-02 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | Accountant not resident in United States or any of its possessions.<br>FOR OFFICIAL USE ONLY | | | | |------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------|------------|-------------------------------------------------------|--| | Public Accountant | | | | | | Certified Public Accountant | | | | | | CHECK ONE: | | | | | | (Address) | (City) | (State) | (Zip Code) | | | 99 High Street | Boston | MA | 02110 | | | Wolf and Company, P.C. | (Name - if individual, state last, first, middle name) | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | (Area Code - Telephone Number) | | | Jason Schuck 413-733-5111 | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | (City) | (State) | (Zip Code) | | | | Springfield | (No. and Street)<br>MA | 01115 | | | | 1500 Main Street | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>FIRM I.D. NO. | | | | | | NAME OF BROKER-DEALER: St. Germain Securities. Inc. | | | OFFICIAL USE ONLY | | | | A. REGISTRANT IDENTIFICATION | | | | | | MM/DD/Y Y | | ------------------------------------ | | | REPORT FOR THE PERIOD BEGINNING 01/01/2019 | AND ENDING 12/31/2019 | | | | | | Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | | | | | | FACING PAGE<br>Information Required of Brokers and Dealers Pursuant to Section 17 of the | | | | | | PART III | | | | | | FORM X-17A-5 | | SEC FILE NUMBER | | | | ANNUAL AUDITED REPORT | | Estimated average burden<br>hours per response 12.00 | | | | SECURITIES ANDEXCHANGE COMMISSION<br>Washington, D.C. 20549 | Expires: | OMB Number:<br>3235-0123<br>August 31, 2020 | | Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays acurrently valld 10-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-1-1-1-1-1-1-1-1-1-1-1-1-1-1-1-1-1-11-11-11-11-11-11-11-11-11-11-11-11-11-11-11-11-11-11-11-11-11-11-11-11-11-11-11-11-11-11-11-SEC 1410 (11-05) {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | St. Germain Securities, Inc. | | my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of<br>----------------------------------…Read the full text as markdown