This letter is provided in compliance with SEC & FINRA rules regarding account opening and annual disclosures that must be made by St. Germain to all clients. (PDF 120k)
Disclosure to Clients in Compliance with NASD Rule 3510(e) Regarding Continuity and Contingency Plans for St. Germain Investment Management. (PDF 72k)
Please click on the Order Routing Disclosure Link. Then type “DJ St Germain” into the Broker Dealer Search box.