Louis Bartenstein

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CRD#: 4902603

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Louis Bartenstein was a registered financial professional .

Louis is a previously registered financial professional and started their career in finance in 2005. Louis had worked at 2 firms and has passed the Series 66, SIE, Series 7, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 10, 2011 - May 15, 2019

ST. GERMAIN INVESTMENT MANAGEMENT

RIA

CRD#: 155186

SPRINGFIELD, MA

Past

November 1, 2010 - May 15, 2019

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

June 30, 2005 - October 25, 2010

ST. GERMAIN SECURITIES, INC.

RIA

CRD#: 3255

HARTFORD, CT

Past

May 10, 2005 - 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 6/24/2005

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: 5/9/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/18/2006

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 8/17/2005

Municipal Securities 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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Advisor Monitoring

Firm Stability Insights

Louis Bartenstein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client 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 66

Date: 6/24/2005

SIE

Date: 10/1/2018

Series 7

Date: 5/9/2005

Series 24

Date: 3/18/2006

Series 53

Date: 8/17/2005

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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