Full text of ST. GERMAIN SECURITIES, INC.'s X-17A-5 filed 2023-03-31 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549<br>ANNUAL REPORTS | | OMS APPROVAL<br>OMB Number: 3235·0123<br>Expires: Oct. 31, 2023<br>Estimated average burden<br>hours per response:<br>12<br>SEC FILE NUMBER | | |---------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------|----------------------|---------------------------------------------------------------------------------------------------------------------------------------------|--| | | | | | | | | | | | | | | FORM X-17A-5 | | 8-04575 | | | | PART Ill | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Se:curities Exchange Act of 1934 | | | | | FILING FOR THE PERIOD BEGINNING 01 /01 /22 | | AND ENDING 12/31 /22 | | | | | MM/00/YY | | MM/00/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME oF FIRM : St. Germain Securities, Inc. | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>[!] Broker-dealer<br>0 Check here if respondent is also an OTC derivatives dealer | 0 Security-based swap dealer | | 0 Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 1500 Main Street | | | | | | | {No. and Street) | | | | | Springfield | MA | | 01115 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | John Fortier | 413-584-9121 | | tfortier@gagewiley. com | | | (Name) | (Area Code- TeleiPhone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | Wolf and Company, P.C. | INDEPENDENT P'UBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | (Name- if individual, state last, first, and middle name) | | | | | 255 State Street | Boston | MA | 02109 | | | (Address) | (City) | (State) | (Zip Code) | | | lr•<br>of Rogl•t~tlon wUh PCAOB}(;f opplk•bl•l | | | (PCAOB Rog;,t,.tion Nomb.,, If •PPII"bl•ll | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l){ii), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond unless the fon…Read the full text as markdown