at


Investment Adviser Firm Summary

ST. GERMAIN INVESTMENT MANAGEMENT, INC. (CRD# 155186 / SEC# 801-12471)
Alternate Names: ST. GERMAIN INVESTMENT MANAGEMENT , ST. GERMAIN INVESTMENT MANAGEMENT, INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 12/30/1976

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Arizona 04/14/2004
California 01/10/2011
Colorado 01/10/2011
Connecticut 01/10/2011
District of Columbia 01/10/2011
Florida 08/24/1989
Georgia 01/10/2011
Illinois 04/23/2004
Kentucky 01/10/2011
Louisiana 01/10/2011
Maine 01/10/2011
Maryland 01/10/2011
Massachusetts 01/10/2011
Minnesota 01/10/2011
Missouri 01/10/2011
Nebraska 01/10/2011
New Hampshire 01/07/2005
New Jersey 01/26/2011
New Mexico 01/10/2011
New York 01/07/2005
North Carolina 01/10/2011
Ohio 01/10/2011
Oregon 01/10/2011
Pennsylvania 01/10/2011
Rhode Island 01/10/2011
South Carolina 01/10/2011
South Dakota 01/21/2011
Texas 01/10/2011
Vermont 02/01/2011
Virginia 01/10/2011
Washington 01/10/2011

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser