Full text of ST. GERMAIN SECURITIES, INC.'s X-17A-5/A filed 2021-03-08 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITEDSTATES SECURITIESANDEXCHANGECOMMIS~ON Wasbington,D.C. 20549 ### **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | 0MB APPROVAL | | | |--------------------------|-----------------|--| | 0MB Number: | 3235-0123 | | | Expires: | August 31, 2020 | | | Estimated average burden | | | | hours oe,resoonse 12.00 | | | # SEC FILE NUMBER **s..04575** **FACING PAGE Information Required of Brokers and Dealers Pursuant** to **Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING01/01/2020 | | AND ENDING 12/31/2020 | | |-------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------|-----------------------|-------------------------------| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: St. Germain Securities, Inc. | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRMJ.O. NO. | | 1500 Main Street | | | | | | (No. and Street) | | | | Springfield | MA | | 01115 | | (City) | (State) | | (Zip Code) | | Jason Schuck 413-733-5111 | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>B. ACCOUNTANT IDENTIFICATION | | (Area Code -Telephone Number) | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report• | | | | Wolf and Company, P.C. | | | | | | {Name - if individual, state last, first, middle name) | | | | 99 High Street | Boston | MA | 02110 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | !certified Public Accountant<br>B<br>Public Accountant | | | | | | Accountant not resident in United States or any of its possessions.<br>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 qffacts and circumstances relied on as the basis/or the exemption. See Section 240.J7a-S(e}{2)* > Potential persons who are to respond to the collection of Information contained In this form are not required to respond unless the form displays a currently valid 0MB control number. SEC 1410 (11-05) {1}------------------------------------------------ #### **OATH OR AFFIRMATION** I, Michael R. Matty , swear (or affirm) that, to the best of my knowledge and belief the accompanying fi…Read the full text as markdown