TS
Tatyana Shut
ST. GERMAIN INVESTMENT MANAGEMENT
Springfield, MA 01115-1001
Some features on this profile are disabled
CRD#: 6841137
TS
Professional summary
Tatyana Shut, AIF® is a registered financial advisor currently at ST. GERMAIN INVESTMENT MANAGEMENT located in Springfield, Massachusetts.
Tatyana is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Tatyana has worked at 2 firms and has passed the Series 65, SIE and Series 99 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.
ACCOUNTANT FOR THE GORDON CROSS CORPORATION, #10 HIDDEN BROOK HOLLOW CANTON, CT WHICH BEGAN IN 2017 AND IS CURRENTLY ONGOING. COMPENSATION FOR GORDON CROSS CORP. IS $200-$500 QUARTERLY/20 HOURS PER YEAR. CONSULTANT FOR VOZIK LLC, 221 KLAUS ANDERSONRD SOUTHWICK, MA 01077. COMPENSATION FOR VOZIK LLC IS $200-$1000 PER YEAR/20 HOURS PER YEAR. THIS IS CURRENT AND ONGOING.
CRS (Client Relationship Summary) - RIA
Click below to view Tatyana Shut's 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®
Experience
Current
August 21, 2019 - Present
ST. GERMAIN INVESTMENT MANAGEMENT
Office #1: 1500 Main St 25th Floor, Springfield, MA 01115-1001RIA
CRD#: 155186
Springfield, MA
Past
September 14, 2017 - December 26, 2024
ST. GERMAIN SECURITIES, INC.
BD
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".
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(8/27/2019)
Exams
State Security Law Exam
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
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
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
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.
