Willard R. St.germain
Professional summary
Willard Richard St.germain was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Willard is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Willard had worked at 8 firms, which includes AMERICAN BEACON PARTNERS INC., RBG INVESTMENTS INC., BERTHEL FISHER & COMPANY FINANCIAL SERVICES INC., LISS FINANCIAL SERVICES, ST. GERMAINE SECURITIES COMPANY, SYNDEX SECURITIES CORPORATION, INVESTACORP INC., SOUTHMARK FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2002 - October 28, 2005
AMERICAN BEACON PARTNERS, INC.
January 26, 1996 - April 7, 2000
RBG INVESTMENTS, INC.
November 18, 1991 - July 13, 1993
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
February 15, 1991 - October 21, 1991
LISS FINANCIAL SERVICES
September 10, 1985 - February 13, 1991
ST. GERMAINE SECURITIES COMPANY
September 3, 1985 - October 9, 1985
SYNDEX SECURITIES CORPORATION
July 30, 1984 - December 5, 1984
INVESTACORP, INC.
December 21, 1983 - August 9, 1984
SOUTHMARK FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AMERICAN BEACON PARTNERS, INC.
CRD#: 15791 / SEC#: , 8-32709
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
