MF
Marianne S. Fresia
ST. GERMAIN INVESTMENT MANAGEMENT
Lee, MA 01238
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CRD#: 6708396
MF
Professional summary
Marianne Sara Fresia, who also goes by Marianne Fresia, Marianne Sara Hover, is a registered financial advisor currently at ST. GERMAIN INVESTMENT MANAGEMENT located in Lee, Massachusetts.
Marianne is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Marianne has worked at 2 firms and has passed the SIE and Series 99 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Marianne Fresia | Marianne Sara Hover
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.
Employee of Lee Bank as AVP of Private Banking and Trust Services with related job duties: private banking client customer relations and support and trust documentation and trust client's support including funds transfers and trust document review. Start date 05/2016 with approximately 140 hours/month during trading hours dedicated to other business as a dual employee of St Germain Securities Inc.2)Treasurer for the Non-Profit Center of the Berkshires (NPC) Start date March 1, 2018 with approximately 5 hours per month or 56 hours per year outside of her normal work day and trade hours. NPC plans workshops and events to help area's non-profits learn, collaborate, and network. As treasurer she is responsible for overseeing a small budget but is not responsible for choosing investments or directing funds independently. There is no compensation paid for her time as this is a volunteer position.
CRS (Client Relationship Summary) - RIA
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Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 30, 2024 - Present
ST. GERMAIN INVESTMENT MANAGEMENT
Office #1: 103 West Park St., Lee, MA 01238RIA
CRD#: 155186
Lee, MA
Past
December 2, 2016 - December 26, 2024
ST. GERMAIN SECURITIES, INC.
BD
CRD#: 3255
Lee, 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(5/30/2024)
Exams
General Industry/Product Exam
General Industry/Product Exam
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)Upgrade to AdvisorCheck Premium
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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)
Documents
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 | ||
| 01/22/2024 | ||
| 12/20/2022 |
Red Flags
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Company Information
ST. GERMAIN INVESTMENT MANAGEMENT
CRD#: 155186Lee, MA 01238TRUST BUT VERIFY
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