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Polly W. Cordle

ST. GERMAIN INVESTMENT MANAGEMENT
Springfield, MA 01115-1001
Some features on this profile are disabled
CRD#: 2875017
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Professional summary

Polly White Cordle, who also goes by Polly White Coffey, Polly Cordle, Polly Rachel White, is a registered financial advisor currently at ST. GERMAIN INVESTMENT MANAGEMENT located in Springfield, Massachusetts.

Polly is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Polly has worked at 11 firms and has passed the Series 65, Series 63, Series 66, SIE, Series 7, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Polly White Coffey | Polly Cordle | Polly Rachel White

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Polly White Cordle'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

May 17, 2022 - Present

ST. GERMAIN INVESTMENT MANAGEMENT

Office #1: 1500 Main St 25th Floor, Springfield, MA 01115-1001
RIA
CRD#: 155186
Springfield, MA
Past

December 9, 2020 - March 4, 2025

ST. GERMAIN SECURITIES, INC.

BD
CRD#: 3255
SPRINGFIELD, MA
Past

October 13, 2020 - October 13, 2021

MARRIOTT SECURITIES, LLC

BD
CRD#: 149323
RICHMOND, VA
Past

December 13, 2019 - May 4, 2020

RESURGENT ADVISORS

RIA
CRD#: 299575
GLEN ALLEN, VA
Past

November 21, 2019 - December 31, 2019

ENCOMPASS FINANCIAL ADVISORS LLC

RIA
CRD#: 174531
Glen Allen, VA
Past

September 27, 2017 - March 18, 2019

GORDON LONG CAPITAL, LLC

RIA
CRD#: 283798
Glen Allen, VA
Past

April 25, 2016 - November 22, 2019

M HOLDINGS SECURITIES, INC.

BD
CRD#: 43285
PORTLAND, OR
Past

June 9, 2015 - September 27, 2017

CARY STREET PARTNERS

RIA
CRD#: 128545
RICHMOND, VA
Past

October 10, 2013 - March 28, 2014

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

July 2, 2013 - June 12, 2018

CARY STREET PARTNERS

BD
CRD#: 128089
RICHMOND, VA
Past

February 21, 2012 - December 16, 2019

MARRIOTT SECURITIES, LLC

BD
CRD#: 149323
RICHMOND, VA
Past

April 15, 2003 - December 24, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
ST. LOUIS, MO
Past

October 15, 2002 - December 24, 2008

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO

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
(5/17/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/9/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/24/2013
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 12/6/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/14/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/2/2012
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 3/17/2003
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 2/5/2003
General Securities Sales Supervisor - Options Module 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#: 155186Springfield, MA 01115-1001

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