ST. GERMAIN INVESTMENT MANAGEMENT, INC. of SPRINGFIELD, MA is an SEC-registered investment adviser (CRD 155186). Regulatory assets under management: $3.8B.
Compensation: % of AUM.
Clients served: Individuals, High net worth, Pooled vehicles, Corporations.
| Name | Role | Location |
|---|---|---|
| Michael Robert Matty | PRESIDENT, DIRECTOR, SECRETARY | — |
| Timothy Wallace Suffish | DIRECTOR | — |
| Polly White Cordle | CHIEF COMPLIANCE OFFICER | — |
| John Francis Fortier | TREASURER | — |
| VALICKUS PAUL JOSEPH | CHAIRMAN; CHIEF STRATEGIST; DIRECTOR (+1 more) | — |
| MATTY MICHAEL ROBERT | CHIEF COMPLIANCE OFFICER, PRESIDENT, DIRECTOR; PRESIDENT; PRESIDENT, DIRECTOR, SECRETARY (+1 more) | — |
| SUFFISH TIMOTHY WALLACE | DIRECTOR | — |
| SCHUCK JASON MAXWELL | TREASURER | — |
| CORDLE POLLY WHITE | CHIEF COMPLIANCE OFFICER | — |
| Fortier John Francis | TREASURER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-07-08 | regulatory | IN JULY OF 2021, ST. GERMAIN INVESTMENT MANAGEMENT ENTERED INTO A SETTLEMENT WITH THE SECURITIES EXCHANGE COMMISSION INVOLVING THE FIRM'S SPECIFIED DISCLOSURE OF A CONFLICT OF INTEREST ARISING FROM THE PARTICIPATION OF THE FIRM'S AFFILIATED BROKER DEALER IN A CASH SWEEP REVENUE SHARING AGREEMENT. PE… | Final | $300K |
| 2010-04-09 | regulatory | ST. GERMAIN FAILED TO FILE A "DESIGNATED PRINCIPAL FORM DPF" WITH THE STATE BY DECEMBER 31, AS REQUIRED BY ILLINOIS STATUTES. | Final | $250 |
| 2006-07-10 | regulatory | FINRA RULES 2010,7450,NASD RULES 2110,3010,6955(A)- ST. GERMAIN SECURITIES, INC FAILED TO TRANSMIT ALL OF IT'S ORDERS TO THE ORDER AUDIT TRAIL SYSTEM(OATS) THAT IT WAS REQUIRED TO TRANSMIT DURING A PARTICULAR PERIOD.THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO… | Final | $28K |
| City | State | Employees | Phone |
|---|---|---|---|
| NORTHAMPTON | MA | 5 | 413-584-9121 |
| LEE | MA | 3 | 413-243-4331 |
| STRATHAM | NH | 2 | 603-691-6585 |
| STRATHAM | NH | 2 | 603-691-6585 |
| JACKSON | MS | 1 | 413-733-5111 |
| PLYMOUTH | MA | 1 | 508 746-7526 |
| JACKSON | MS | 1 | 413-733-5111 |