Michael R. Matty

ST. GERMAIN INVESTMENT MANAGEMENT

Springfield, MA 01115-1001

Some features on this profile are disabled

CRD#: 3258559

Professional summary

Michael Robert Matty, AIF®, CFP®, ChFC® is a registered financial advisor currently at ST. GERMAIN INVESTMENT MANAGEMENT located in Springfield, Massachusetts.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Michael has worked at 2 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

WORK AS AN IA FOR AFFILIATED FIRM 155186

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Robert Matty'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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 2004

ChFC^®

Chartered Financial Consultant

Experience

Current

January 10, 2011 - Present

ST. GERMAIN INVESTMENT MANAGEMENT

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

RIA

CRD#: 155186

Springfield, MA

Past

November 1, 2010 - December 26, 2024

ST. GERMAIN SECURITIES, INC.

CRD#: 3255

SPRINGFIELD, MA

Past

October 26, 2010 - December 31, 2010

ST. GERMAIN INVESTMENT MANAGEMENT

RIA

CRD#: 155186

SPRINGFIELD, MA

Past

March 16, 2004 - October 25, 2010

ST. GERMAIN SECURITIES, INC.

RIA

CRD#: 3255

HARTFORD, CT

Past

November 19, 1999 - October 25, 2010

ST. GERMAIN SECURITIES, INC.

CRD#: 3255

HARTFORD, CT

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
(1/18/2011)

IAR

New Hampshire
(4/7/2025)

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

Series 63

Date: 12/3/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 7/18/2003

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 8/18/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 3/6/2002

General Securities Principal Examination

Current Firm

ST. GERMAIN INVESTMENT MANAGEMENT

CRD#: 155186 / SEC#: 801-12471

RIA

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael R. Matty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Robert Matty's CRS (Customer Relationship Summary).

Certified licenses

Experience

ST. GERMAIN SECURITIES, INC.

ST. GERMAIN INVESTMENT MANAGEMENT

ST. GERMAIN SECURITIES, INC.

ST. GERMAIN SECURITIES, INC.

Primary Firm SEC Registration

ST. GERMAIN INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 12/3/1999

Series 99TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 7/18/2003

Series 7

Date: 8/18/1999

Series 14

Date: 1/2/2023

Series 24

Date: 3/6/2002

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

Similar Advisors