Full text of ST. GERMAIN SECURITIES, INC.'s X-17A-5/A filed 2022-03-30 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STATES | | 0MB APPROVAL | |-------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------|---------------------------------------------------------------------------------------------------------| | | SECURITIES AND EXCHANGE COMMISSION<br>Washington, D,C, 20549 | | 0MB Number; 3235-0123<br>Expires: Oct. 31, 2023<br>Estimated average bi,Jrden<br>hours per response: 12 | | | ANNUAL REPORTS | | | | | FORM X-17A-5 | | SEC FILE NUMBER<br>8-04575 | | | PART Ill | | | | FILING FOR THE PERIOD BEGINNING O 1/01/2021 | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-1Z, and lBa-7 under the Securities Exchange Act of 1934 | | AND ENDING 12/31/2021 | | | MM/DD/YY | | MM/DD/YV | | | A, REGISTRANT IDENTIFICATION | | | | NAMEoFFIRM: St. Germain Securities, Inc. | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>0 Broker-dealer<br>0 Check here if respondent ls also an OTC derivatives dealer | D Security-based swap dealer<br>ADDRESS OF PRINCIPAL PLACE OF B_USINESS: (Do not use a P.O. box no.) | | D Major security-based swap participant | | 1500 Main Street | | | | | | (No. and Street) | | | | Springfield | MA | | 01115 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Jason Schuck | 413-733-5111 | | Jschuck@stgermalnlnvestments.com | | (Name) | (Area Code-Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | Wolf and Company, P.C. | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing• | | | | | (Name - lf !ndlvidual, state last, first, and middle name) | | | | 255 State Street | Boston | MA | 02109 | | (Address) | (City) | (State) | (Zip Code) | | {Date of Registration with PCAOB){if annlicable) | | | (PCAOB Registration Number, if applicable) | | | FOR OFFICIAL USE ONLY | | | | CFR 240,17a-S(e)(l)(II), if applicable. | * Claims for exemption from the requirement that the annual reports be covered by the reports of an Independent public<br>accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 | | | Perso…Read the full text as markdown