Polly W. Cordle

ST. GERMAIN INVESTMENT MANAGEMENT

Springfield, MA 01115-1001

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CRD#: 2875017

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.

CRD#: 3255

SPRINGFIELD, MA

Past

October 13, 2020 - October 13, 2021

MARRIOTT SECURITIES, LLC

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.

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

CRD#: 6413

FORT MILL, SC

Past

July 2, 2013 - June 12, 2018

CARY STREET PARTNERS

CRD#: 128089

RICHMOND, VA

Past

February 21, 2012 - December 16, 2019

MARRIOTT SECURITIES, LLC

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

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".

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.

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)

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: 6/9/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/24/2013

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 12/6/2002

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: 10/14/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/2/2012

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 3/17/2003

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 2/5/2003

General Securities Sales Supervisor - Options Module 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

Polly W. Cordle

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Polly White Cordle's CRS (Customer Relationship Summary).

Certified licenses

Experience

ST. GERMAIN SECURITIES, INC.

MARRIOTT SECURITIES, LLC

RESURGENT ADVISORS

ENCOMPASS FINANCIAL ADVISORS LLC

GORDON LONG CAPITAL, LLC

M HOLDINGS SECURITIES, INC.

CARY STREET PARTNERS

LPL FINANCIAL LLC

CARY STREET PARTNERS

MARRIOTT SECURITIES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

ST. GERMAIN INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 6/9/2015

Series 63

Date: 10/24/2013

Series 66

Date: 12/6/2002

SIE

Date: 10/1/2018

Series 7

Date: 10/14/2002

Series 24

Date: 3/2/2012

Series 10

Date: 3/17/2003

Series 9

Date: 2/5/2003

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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