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Mary Kate Frodema

Mary Kate Frodema

ST. GERMAIN INVESTMENT MANAGEMENT
Northampton, MA 01060
Some features on this profile are disabled
CRD#: 5796418
Mary Kate Frodema

Professional summary

Mary Kate Frodema, CFP®, who also goes by Mary Kate Nmn Frodema, is a registered financial advisor currently at ST. GERMAIN INVESTMENT MANAGEMENT located in Northampton, Massachusetts.

Mary Kate is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Mary Kate has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Mary Kate Nmn Frodema

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.
Springfield Prep Charter School, Board Member, not investment related, Springfield, MA, school for children, began October 2023 as Board Member attending meetings of the board and voting on board matters, Approximately 5 non-market hours per month, no market hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mary Kate Frodema'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®
CFP®

Certified Financial Planner

Start date: 2017

Experience

Current

May 10, 2022 - Present

ST. GERMAIN INVESTMENT MANAGEMENT

Office #1: 120 King St., Northampton, MA 01060
RIA
CRD#: 155186
Northampton, MA
Past

April 22, 2022 - December 26, 2024

ST. GERMAIN SECURITIES, INC.

BD
CRD#: 3255
Northampton, MA
Past

March 11, 2021 - May 18, 2022

HART & PATTERSON FINANCIAL GROUP

RIA
CRD#: 310639
AMHERST, MA
Past

September 10, 2019 - March 2, 2021

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
HOLYOKE, MA
Past

April 1, 2014 - February 10, 2016

MML STRATEGIC DISTRIBUTORS, LLC

BD
CRD#: 168638
SPRINGFIELD, MA
Past

December 7, 2011 - April 1, 2014

MML DISTRIBUTORS, LLC

BD
CRD#: 38030
SPRINGFIELD, MA
Past

December 7, 2011 - March 2, 2021

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
HOLYOKE, MA
Past

June 6, 2011 - September 27, 2011

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305
AGAWAM, 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".
SG
ST. GERMAIN INVESTMENT MANAGEMENT
GAGE-WILEY | ST. GERMAIN WEALTH MANAGEMENT GROUP | ST. GERMAIN INVESTMENT MANAGEMENT, INC. | ST. GERMAIN INVESTMENT MANAGEMENT | OCTOBER MOUNTAIN FINANCIAL ADVISORS | NEW ENGLAND CAPITAL

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
(5/10/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/24/2019
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/16/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/23/2018
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/3/2011
Investment Company Products/Variable Contracts Representative Examination

Current Firm

SG
ST. GERMAIN INVESTMENT MANAGEMENT
GAGE-WILEY | ST. GERMAIN WEALTH MANAGEMENT GROUP | ST. GERMAIN INVESTMENT MANAGEMENT, INC. | ST. GERMAIN INVESTMENT MANAGEMENT | OCTOBER MOUNTAIN FINANCIAL ADVISORS | NEW ENGLAND CAPITAL

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
42

SEC notice filing (42 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

AUGUST 2020 (3/26/2025)

Regulatory assets under management

Total Number of Accounts6,159
AUM (Assets Under Management)$ 3,099,684,697

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

ST. GERMAIN INVESTMENT MANAGEMENT

CRD#: 155186Northampton, MA 01060

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