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40 West 57Th Street 19Th Floor, New York, NY 10019 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-02-14 |
| FL | RA | APPROVED | 2014-12-11 |
| MA | RA | APPROVED | 2014-10-27 |
| VT | RA | APPROVED | 2014-09-17 |
| NJ | RA | APPROVED | 2014-09-16 |
| CA | RA | APPROVED | 2014-09-15 |
| CO | RA | APPROVED | 2014-09-15 |
| CT | RA | APPROVED | 2014-09-15 |
| ME | RA | APPROVED | 2014-09-15 |
| NH | RA | APPROVED | 2014-09-15 |
| OR | RA | APPROVED | 2014-09-15 |
| PA | RA | APPROVED | 2014-09-15 |
| RI | RA | APPROVED | 2014-09-15 |
Branch Locations
40 West 57Th Street 19Th Floor, New York, NY 10019 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Winchester Group Inc | New York | NY | 05/2001 | Present |
| Tocqueville Securities L.P. | New York | NY | 12/2013 | Present |
TOCQUEVILLE ASSET MANAGEMENT L.P., INVESTMENT ADVISOR, IS AN AFFILIATE OF AND OPERATES OUT OF THE SAME OFFICES AS TOCQUEVILLE SECURITIES L.P., EMPLOYMENT DATE 12/4/2013, TITLE PORTFOLIO MANAGER, AND TOCQUEVILLE SECURITIES L.P., APPROXIMATELY 94% TO 96% (APPROXIMATELY 165 HOURS) OF TIME A MONTH IS DEVOTED TO TOCQUEVILLE ASSET MANAGEMENT L.P., DEPENDING ON BUSINESS REQUIREMENTS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-09-23 |
| S63 | Uniform Securities Agent State Law Examination | 2005-02-04 |
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