Sylvia M. Callan

ST. GERMAIN INVESTMENT MANAGEMENT

Northampton, MA 01060

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CRD#: 3130489

Professional summary

Sylvia Mendoza Callan, who also goes by Sylvia Mendoza, is a registered financial advisor currently at ST. GERMAIN INVESTMENT MANAGEMENT located in Northampton, Massachusetts.

Sylvia is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Sylvia has worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 86, Series 87, Series 7, Series 24, Series 53 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sylvia Mendoza

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.

MARY KAY COSMETICS. MARY KAY REPRESENTATIVE. THIS IS NOT INVESTMENT RELATED. WORKS OUT OF HOME SELLING COSMETICS PART TIME. DOES NOT CONFLICT WITH ROLE AND RESPONSIBILITIES AT GAGE WILEY. BEGINNING NOVEMBER 2024, MEMBER INVESTMENT COMMITTEE AND TRUSTEE FOR COMMUNITY FOUNDATION OF WESTERN MASSACHUSETTS, .5 HOURS MONTHLY, ASSISTING IN MAKING RECOMMENDATIONS FOR THE ENTITY'S INVESTMENTS. INVESTMENT RELATED BUT NO CONTROL OVER ASSETS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sylvia Mendoza Callan'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 11, 2020 - Present

ST. GERMAIN INVESTMENT MANAGEMENT

Office #1: 120 King St, Northampton, MA 01060

RIA

CRD#: 155186

Northampton, MA

Past

December 3, 2019 - December 26, 2024

ST. GERMAIN SECURITIES, INC.

CRD#: 3255

SPRINGFIELD, MA

Past

April 8, 2019 - January 4, 2021

NEW ENGLAND CAPITAL

RIA

CRD#: 106518

NORTHAMPTON, MA

Past

December 13, 2012 - December 31, 2018

NEW ENGLAND CAPITAL

RIA

CRD#: 106518

NORTHAMPTON, MA

Past

September 9, 2002 - March 9, 2020

GAGE-WILEY & CO., INC.

CRD#: 344

NORTHAMPTON, MA

Past

July 26, 2002 - September 25, 2002

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

February 11, 2000 - July 24, 2000

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

January 1, 1999 - January 3, 2000

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

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
(2/11/2020)

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: 2/28/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/22/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 86

Date: 9/1/2004

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 6/18/2004

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 12/12/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/8/2018

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 3/28/2018

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 12/20/2017

Registered Options 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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Sylvia M. Callan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sylvia Mendoza Callan's CRS (Customer Relationship Summary).

Certified licenses

Experience

ST. GERMAIN SECURITIES, INC.

NEW ENGLAND CAPITAL

NEW ENGLAND CAPITAL

GAGE-WILEY & CO., INC.

SIGNATOR INVESTORS, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

UBS SECURITIES LLC

Primary Firm SEC Registration

ST. GERMAIN INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 2/28/2008

Series 63

Date: 3/22/1999

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 86

Date: 9/1/2004

Series 87

Date: 6/18/2004

Series 7

Date: 12/12/1998

Series 24

Date: 5/8/2018

Series 53

Date: 3/28/2018

Series 4

Date: 12/20/2017

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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