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320 Post Road Suite 230, Darien, CT 06820 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2020-05-13 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sprott Global Resource Investments Ltd. | Carlsbad | CA | 02/2003 | Present |
| Sprott Asset Management Usa, Inc. | Carlsbad | CA | 07/2019 | Present |
MILES FRANKLIN PRECIOUS METALS INVESTMENTS, 801 TWELVE OAKS CENTER DRIVE, SUITE #834, WAYZATA, MN 55391; NOT INVESTMENT RELATED. NATURE: PHYSICAL PRECIOUS METAL SALES. POSITION AND DUTIES: REFER CLIENTS, SUBJECT TO A REFERRAL AGREEMENT. COMPENSATION: RECEIVES A PERCENTAGE OF THE SALES COMMISSION FOR REFERAL. START DATE: NOVEMBER 2012. DEVOTING 1 HOUR PER MONTH DURING TRADING HOURS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-07-18 |
| S66 | Uniform Combined State Law Examination | 2006-01-30 |
| S63 | Uniform Securities Agent State Law Examination | 2003-04-14 |
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