Patricia M. Matty

ST. GERMAIN INVESTMENT MANAGEMENT

Springfield, MA 01115-1001

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CRD#: 4641812

Professional summary

Patricia Mae Matty, AIF®, who also goes by Patricia Mae Faginski, Patricia Mae Racine, is a registered financial advisor currently at ST. GERMAIN INVESTMENT MANAGEMENT located in Springfield, Massachusetts.

Patricia is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Patricia has worked at 2 firms and has passed the Series 66, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Patricia Mae Faginski | Patricia Mae Racine

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.

ALSO EMPLOYED BY PARENT COMPANY DJ ST. GERMAIN CO., INC. AND SUBSIDIARY ST. GERMAIN INVESTMENT MANAGMENT.THE WILD ONE CANDLE AND THE WILD ONE CANDLES AND GIFTS.I AM AN OWNER WITH MY SON.THIS IS NOT INVESTMENT RELATED. THE ADDRESS IS MY HOME WITH A START DATE OF 1/01/2021.I DEVOTE 40 HOURS A MONTH WHICH IS OUTSIDE MARKET HOURS.WE MAKE HAND MADE CANDLES AND GIFTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patricia Mae 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

Experience

Current

May 24, 2013 - Present

ST. GERMAIN INVESTMENT MANAGEMENT

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

RIA

CRD#: 155186

Springfield, MA

Past

October 25, 2007 - December 26, 2024

ST. GERMAIN SECURITIES, INC.

CRD#: 3255

SPRINGFIELD, MA

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
(5/28/2013)

IAR

Nebraska
(9/19/2019)

IAR

New Hampshire
(5/28/2013)

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 66

Date: 5/20/2013

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/24/2007

General Securities Representative 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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Advisor Monitoring

Firm Stability Insights

Patricia M. Matty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patricia Mae Matty's CRS (Customer Relationship Summary).

Certified licenses

Experience

ST. GERMAIN SECURITIES, INC.

Primary Firm SEC Registration

ST. GERMAIN INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 5/20/2013

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/24/2007

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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