William T. Johnson

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CRD#: 1357248

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

William Tethelonius Johnson was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1985. William had worked at 8 firms and has passed the Series 65, Series 63, Series 66, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Adjunct professor at Elms College Chicopee MA Start date August 2017 3-6 hours per week outside of trading hours. Expected Compensation $3500. Starting August-September 2017:Limited Life Insurance sales to non-St Germain clients through Various carriers. Expected to sell only as special request with pre-approval from B/D. 2 1/2 years since last individual life sale.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 2, 2015 - July 25, 2022

ST. GERMAIN INVESTMENT MANAGEMENT

RIA

CRD#: 155186

SPRINGFIELD, MA

Past

January 2, 2015 - July 25, 2022

ST. GERMAIN SECURITIES, INC.

CRD#: 3255

Lee, MA

Past

January 19, 2010 - December 22, 2014

NEW ENGLAND SECURITIES

RIA

CRD#: 615

WEST HARTFORD, CT

Past

August 5, 2009 - December 22, 2014

NEW ENGLAND SECURITIES

CRD#: 615

WEST HARTFORD, CT

Past

June 30, 2000 - January 26, 2005

VOYA FINANCIAL PARTNERS, LLC

RIA

CRD#: 34815

HARTFORD, CT

Past

September 20, 1999 - December 31, 2000

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

June 16, 1998 - September 23, 2000

AETNA FINANCIAL SERVICES, INC.

CRD#: 13255

HARTFORD, CT

Past

June 16, 1998 - January 26, 2005

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WINDSOR, CT

Past

October 19, 1992 - December 8, 1997

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

March 13, 1992 - October 21, 1992

G. R. PHELPS & CO., INC.

CRD#: 173

Past

May 24, 1985 - November 28, 1990

G. R. PHELPS & CO., INC.

CRD#: 173

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ST. GERMAIN INVESTMENT MANAGEMENT

CRD#: 155186 / SEC#: 801-12471

RIA

Registered Investment Advisory firm - (12/30/1976 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/30/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/31/2009

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 8/28/1998

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/29/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/27/2009

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/13/1999

General Securities Principal Examination

Current Firm

ST. GERMAIN INVESTMENT MANAGEMENT

CRD#: 155186 / SEC#: 801-12471

RIA

Registered Investment Advisory firm - (12/30/1976 Approved)

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Contact information

Main Address

1500 Main St 25th Floor, Springfield, MA 01115-1001

Mailing Address

Phone number

(413) 733-5111

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (42 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AUGUST 2020 (3/26/2025)

Regulatory assets under management

Total Number of Accounts	6,159
AUM (Assets Under Management)	$ 3,099,684,697

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/17/2024	Cover Page	Report
01/22/2024	Cover Page	Report
12/20/2022	Cover Page	Report

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.

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Firm Stability Insights

William T. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ST. GERMAIN SECURITIES, INC.

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

VOYA FINANCIAL PARTNERS, LLC

CETERA WEALTH SERVICES, LLC

AETNA FINANCIAL SERVICES, INC.

VOYA FINANCIAL PARTNERS, LLC

LPL FINANCIAL LLC

G. R. PHELPS & CO., INC.

G. R. PHELPS & CO., INC.

Primary Firm SEC Registration

ST. GERMAIN INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 12/30/2009

Series 63

Date: 7/31/2009

Series 66

Date: 8/28/1998

SIE

Date: 10/1/2018

Series 7

Date: 12/29/2012

Series 6

Date: 7/27/2009

Series 24

Date: 8/13/1999

Current Firm

ST. GERMAIN INVESTMENT MANAGEMENT

Contact information

SEC notice filing (42 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ST. GERMAIN INVESTMENT MANAGEMENT

TRUST BUT VERIFY

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