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Maurice S. Bowerman

ST. GERMAIN INVESTMENT MANAGEMENT
Lee, MA 01238
Some features on this profile are disabled
CRD#: 2322092
MB

Professional summary

Maurice Steven Bowerman MR, who also goes by Maurice Stern Bowerman, Maurice Steven Bowerman, is a registered financial advisor currently at ST. GERMAIN INVESTMENT MANAGEMENT located in Lee, Massachusetts.

Maurice is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Maurice has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 62 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Maurice Stern Bowerman | Maurice Steven Bowerman

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.
(1) 06/14/2010 - INDEPENDANT INSURANCE AGENT SELLING PROPERTY CASUALTY INSURANCE - 5% OF TIME SPENT

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Maurice Steven Bowerman MR's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

February 5, 2025 - Present

ST. GERMAIN INVESTMENT MANAGEMENT

Office #1: 103 West Park St., Lee, MA 01238
RIA
CRD#: 155186
Lee, MA
Past

February 22, 2013 - December 21, 2015

LPL FINANCIAL LLC

RIA
CRD#: 6413
HILLSDALE, NY
Past

June 21, 2010 - December 21, 2015

LPL FINANCIAL LLC

BD
CRD#: 6413
HILLSDALE, NY
Past

June 14, 2010 - June 21, 2010

LPL FINANCIAL LLC

BD
CRD#: 6413
HILLSDALE, NY
Past

January 31, 2005 - June 21, 2010

UVEST FINANCIAL SERVICES GROUP, INC.

BD
CRD#: 13787
CHATHAM, NY
Past

October 7, 2004 - February 8, 2005

ESSEX NATIONAL SECURITIES, LLC

BD
CRD#: 25454
NAPA, CA
Past

June 28, 2004 - October 5, 2004

ESSEX NATIONAL SECURITIES, LLC

BD
CRD#: 25454
NAPA, CA
Past

July 20, 1995 - July 27, 2004

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

April 22, 1993 - December 31, 1994

ADVANTAGE CAPITAL CORPORATION

BD
CRD#: 146
ATLANTA, GA

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".
SG
ST. GERMAIN INVESTMENT MANAGEMENT
GAGE-WILEY | ST. GERMAIN WEALTH MANAGEMENT GROUP | ST. GERMAIN INVESTMENT MANAGEMENT, INC. | ST. GERMAIN INVESTMENT MANAGEMENT | OCTOBER MOUNTAIN FINANCIAL ADVISORS | NEW ENGLAND CAPITAL

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.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Massachusetts
(2/5/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/29/2012
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/3/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/21/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/15/2012
General Securities Representative Examination
General Industry/Product Exam
RR
Series 62
Date: 12/4/1993
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/6/1993
Investment Company Products/Variable Contracts Representative Examination

Current Firm

SG
ST. GERMAIN INVESTMENT MANAGEMENT
GAGE-WILEY | ST. GERMAIN WEALTH MANAGEMENT GROUP | ST. GERMAIN INVESTMENT MANAGEMENT, INC. | ST. GERMAIN INVESTMENT MANAGEMENT | OCTOBER MOUNTAIN FINANCIAL ADVISORS | NEW ENGLAND CAPITAL

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
42

SEC notice filing (42 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

AUGUST 2020 (3/26/2025)

Regulatory assets under management

Total Number of Accounts6,159
AUM (Assets Under Management)$ 3,099,684,697

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

ST. GERMAIN INVESTMENT MANAGEMENT

CRD#: 155186Lee, MA 01238

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