D.J. ST. GERMAIN CO., INC.
Legal name: D.J. ST. GERMAIN CO., INC
CRD #3255 SEC #801-12471 SPRINGFIELD, MA [413]733-5111
SEC Registered Broker-Dealer
Total AUM
$811.4M
Discretionary
$811.4M
Employees
--
Clients
0
Accounts
4,467
Firm Details
- Organization Type
- Corporation
- State of Formation
- Massachusetts
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Sep 12, 2005
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| GALE, PAUL HERBERT | I | DIRECTOR | NA | |
| GALE, PAUL HERBERT | I | DIRECTOR | NA | |
| GALE, PAUL HERBERT | I | DIRECTOR | NA | |
| LAPRE, ROBERT ALAN | I | TREASURER | NA | Control |
| LAPRE, ROBERT ALAN | I | TREASURER | NA | Control |
| LAPRE, ROBERT ALAN | I | TREASURER | NA | Control |
| LAPRE, ROBERT ALAN | I | TREASURER | NA | Control |
| LAPRE, ROBERT ALAN | I | TREASURER | NA | Control |
| LAPRE, ROBERT ALAN | I | TREASURER | NA | Control |
| LAPRE, ROBERT ALAN | I | TREASURER | NA | Control |
| LEWIS, JOHN MANWELL | I | VICE PRESIDENT | NA | |
| MARCHESE, PAUL JOSEPH | I | SENIOR VICE PRESIDENT | NA | Control |
| MARCHESE, PAUL JOSEPH | I | SENIOR VICE PRESIDENT | NA | Control |
| MARCHESE, PAUL JOSEPH | I | VICE PRESIDENT MARKETING | NA | |
| MARCHESE, PAUL JOSEPH | I | VICE PRESIDENT MARKETING | NA | |
| MARCHESE, PAUL JOSEPH | I | VICE PRESIDENT MARKETING | NA | |
| MARCHESE, PAUL JOSEPH | I | VICE PRESIDENT MARKETING | NA | |
| MARCHESE, PAUL JOSEPH | I | VICE PRESIDENT MARKETING | NA | |
| MARCHESE, PAUL JOSEPH | I | SENIOR VICE PRESIDENT | NA | Control |
| MARCHESE, PAUL JOSEPH | I | SENIOR VICE PRESIDENT | NA | Control |
| MARCHESE, PAUL JOSEPH | I | SENIOR VICE PRESIDENT | NA | Control |
| MARCHESE, PAUL JOSEPH | I | VICE PRESIDENT MARKETING | NA | |
| MARCHESE, PAUL JOSEPH | I | SENIOR VICE PRESIDENT | NA | Control |
| MARCHESE, PAUL JOSEPH | I | SENIOR VICE PRESIDENT | NA | Control |
| MARCHESE, PAUL JOSEPH | I | VICE PRESIDENT MARKETING | NA | |
| MATTY, MICHAEL ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| D.J. ST. GERMAIN CO., INC. | DE | CORPORATE PARENT | E | |
| GALE, PAUL HERBERT | I | DIRECTOR | C | Control |
| MATTY, MICHAEL ROBERT | I | CHIEF INVESTMENT OFFICER/EVP | C | Control |
| MATTY, MICHAEL ROBERT | I | CHIEF INVESTMENT OFFICER/EVP | C | Control |
| MATTY, MICHAEL ROBERT | I | CHIEF INVESTMENT OFFICER/DIRECTOR | C | Control |
| MATTY, MICHAEL ROBERT | I | CHIEF INVESTMENT OFFICER/DIRECTOR | C | Control |
| MATTY, MICHAEL ROBERT | I | CHIEF INVESTMENT OFFICER/DIRECTOR | C | Control |
| MATTY, MICHAEL ROBERT | I | CHIEF INVESTMENT OFFICER/DIRECTOR | C | Control |
| MATTY, MICHAEL ROBERT | I | CHIEF INVESTMENT OFFICER/DIRECTOR | C | Control |
| MATTY, MICHAEL ROBERT | I | CHIEF INVESTMENT OFFICER/EVP/DIRECTOR/CHIEF COMPLIANCE OFFICER | C | Control |
| MATTY, MICHAEL ROBERT | I | CHIEF INVESTMENT OFFICER/EVP | C | Control |
| MATTY, MICHAEL ROBERT | I | CHIEF INVESTMENT OFFICER/EVP | C | Control |
| MATTY, MICHAEL ROBERT | I | CHIEF INVESTMENT OFFICER/DIRECTOR | C | Control |
| MATTY, MICHAEL ROBERT | I | CHIEF INVESTMENT OFFICER | C | Control |
| MATTY, MICHAEL ROBERT | I | CHIEF INVESTMENT OFFICER/DIRECTOR | C | Control |
| TRELEASE, BRIAN PATRICK | I | CHAIRMAN/DIRECTOR | C | Control |
| TRELEASE, BRIAN PATRICK | I | PRESIDENT | C | Control |
| VALICKUS, PAUL JOSEPH | I | PRESIDENT/DIRECTOR/CHIEF COMPLIANCE OFFICER | C | Control |
| VALICKUS, PAUL JOSEPH | I | PRESIDENT/DIRECTOR/CHIEF COMPLIANCE OFFICER | C | Control |
| VALICKUS, PAUL JOSEPH | I | PRESIDENT/DIRECTOR | C | Control |
| VALICKUS, PAUL JOSEPH | I | PRESIDENT/DIRECTOR | C | Control |
| VALICKUS, PAUL JOSEPH | I | PRESIDENT/DIRECTOR | C | Control |
| VALICKUS, PAUL JOSEPH | I | PRESIDENT/DIRECTOR | C | Control |
| VALICKUS, PAUL JOSEPH | I | PRESIDENT/DIRECTOR | C | Control |
| VALICKUS, PAUL JOSEPH | I | PRESIDENT/DIRECTOR | C | Control |
| VALICKUS, PAUL JOSEPH | I | PRESIDENT/DIRECTOR/CHIEF COMPLIANCE OFFICER | C | Control |
| VALICKUS, PAUL JOSEPH | I | PRESIDENT/DIRECTOR/CHIEF COMPLIANCE OFFICER | C | Control |
| VALICKUS, PAUL JOSEPH | I | PRESIDENT/DIRECTOR/CHIEF COMPLIANCE OFFICER | C | Control |
| VALICKUS, PAUL JOSEPH | I | PRESIDENT/DIRECTOR | C | Control |
| VALICKUS, PAUL JOSEPH | I | PRESIDENT/DIRECTOR | C | Control |
| GALE, PAUL HERBERT | I | DIRECTOR | B | Control |
| GALE, PAUL HERBERT | I | DIRECTOR | B | Control |
| MATTY, MICHAEL ROBERT | I | CHIEF INVESTMENT OFFICER/DIRECTOR | B | |
| TRELEASE, BRIAN PATRICK | I | DIRECTOR | B | Control |
| TRELEASE, BRIAN PATRICK | I | DIRECTOR | B | Control |
| TRELEASE, BRIAN PATRICK | I | DIRECTOR | B | Control |
| TRELEASE, BRIAN PATRICK | I | DIRECTOR | B | Control |
| TRELEASE, BRIAN PATRICK | I | DIRECTOR | B | Control |
| TRELEASE, BRIAN PATRICK | I | CHAIRMAN/DIRECTOR | B | Control |
| TRELEASE, BRIAN PATRICK | I | DIRECTOR | B | Control |
| TRELEASE, BRIAN PATRICK | I | DIRECTOR | B | Control |
| VALICKUS, PAUL JOSEPH | I | PRESIDENT/DIRECTOR | B | Control |
| GALE, PAUL HERBERT | I | RETIRED DIRECTOR | A | |
| GALE, PAUL HERBERT | I | RETIRED DIRECTOR | A | |
| GALE, PAUL HERBERT | I | RETIRED DIRECTOR | A | |
| GALE, PAUL HERBERT | I | DIRECTOR | A | Control |
| GALE, PAUL HERBERT | I | DIRECTOR | A | Control |
| GALE, PAUL HERBERT | I | DIRECTOR | A | Control |
| GALE, PAUL HERBERT | I | RETIRED DIRECTOR | A | |
| GALE, ROBERT GREGORY | I | VICE PRESIDENT | A | |
| GALE, ROBERT GREGORY | I | VICE PRESIDENT | A | |
| GALE, ROBERT GREGORY | I | VICE PRESIDENT | A | |
| GALE, ROBERT GREGORY | I | VICE PRESIDENT | A | Control |
| GALE, ROBERT GREGORY | I | VICE PRESIDENT | A | Control |
| GALE, ROBERT GREGORY | I | VICE PRESIDENT | A | Control |
| MATTY, MICHAEL ROBERT | I | CHIEF INVESTMENT OFFICER | A | Control |
| MATTY, MICHAEL ROBERT | I | CHIEF INVESTMENT OFFICER | A | Control |
| STGERMAIN, JOSEPH BREWSTER | I | 5% OWNER | A | |
| TRELEASE, BRIAN PATRICK | I | DIRECTOR | A | Control |
| TRELEASE, BRIAN PATRICK | I | DIRECTOR | A | Control |
| TRELEASE, BRIAN PATRICK | I | DIRECTOR | A | Control |
| VALICKUS, PAUL JOSEPH | I | DIRECTOR | A | Control |
| VALICKUS, PAUL JOSEPH | I | PRESIDENT/DIRECTOR | A | Control |
| VALICKUS, PAUL JOSEPH | I | PRESIDENT/DIRECTOR | A | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| MATTY, MICHAEL ROBERT | I | D.J. ST. GERMAIN CO., INC. | C | Control |
| VALICKUS, PAUL JOSEPH | I | D.J. ST. GERMAIN CO., INC. | C | Control |
Registrations
Federal
IA
Sep 12, 2005 REGISTERED
Notice Filings (50)
AK AL AR AZ CA CO CT DC DE FL GA HI IA ID IL IN KS KY LA MA MD ME MI MN MO MS MT NC ND NE NH NJ NM NV NY OH OK OR PA RI SC SD TN TX UT VA VT WA WI WV
Address
1500 MAIN STSPRINGFIELD, MA 1115
USA
Phone: [413]733-5111