Full text of ST. GERMAIN SECURITIES, INC.'s X-17A-5 filed 2021-03-01 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITEDSTATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549** ## **ANNUAL AUDITED REPORT FORM X-17A-5 PART** Ill | 0MB APPROVAL | | | | | |--------------------------------------|--|--|--|--| | 3235-0123 | | | | | | August 31, 2020 | | | | | | Expires:<br>Estimated average burden | | | | | | hours per resoonse 12.00 | | | | | | | | | | | | SEC FILE NUMBER | | |-----------------|--| | a04575 | | **FACING PAGE Information Required ofBrokers and Dealers Pursuant to Section** 17 **ofthe Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | | ------,-----~-<br>ANDENDING 12/31/2020<br>REPORTFOR THEPERIODBEGINNINGQ1/Q1/2020 | | | | |-----------------------------------------------------|----------------------------------------------------------------------------------|---------|-------------------------------|--| | | MM/DD/YY | | MM/DD /Y Y | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: St. Germain Securities, Inc. | | | OFFICIAL USE ONLY | | | 1500 Main Street | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do ilot use P.O. Box No.) | | FIRM I.D. NO. | | | | (No. and Street) | | | | | Springfield | MA | | 01115 | | | (City) | (Stitc) | | (Zip Code) | | | Jason Schuck 413-733-511.1 | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | | | (Ana Code., Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | Wolf and Company, P.C. | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | (Name - ifi11dividual. atate kut,f,nt, middle name) · | | | | | 99 High Street | Boston | MA | 02110 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECKONE: | | | | | | !<br>I Certified Public Accountant | | | | | | Public Accountant | | | | | | B | Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | *"'Claims for exemption from the requirement that the annual report be cuvered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis.for the exemption. See Section 240.17a-5 (e)(2)* > **Potential persona who are to respond to the collectlon of Information contained** In **thiaform are not required to respond unless the formdlaplayaacurrentlyvalld 0MB** control **number.** SEC 1410 (11-05) {1}------------------------------------------------ ### **OATH OR A…Read the full text as markdown