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320 Post Road Suite 230, Darien, CT 06820 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sprott Global Resource Investments Ltd. | Carlsbad | CA | 05/2015 | Present |
| Sprott Asset Management Usa, Inc. | Carlsbad | CA | 07/2017 | Present |
| Sprott, Inc. | Toronto | 12/2019 | Present |
SPROTT ASSET MANAGEMENT USA INC.; INVESTMENT RELATED, WHOLLY OWNED SUBSIDIARY OF SPROTT U.S. HOLDINGS, INC.; 1910 PALOMAR AIRPORT WAY, SUITE 200, CARLSBAD, CA 92008; SEC REGISTERED INVESTMENT ADVISOR; CHIEF EXECUTIVE OFFICER; EFFECTIVE JULY 2017; AROUND 12 HOURS DEVOTED WEEKLY; HOURS DEVOTED FLUCTUATE DURING TRADING HOURS AS NEEDED; DUTIES INCLUDE OVERSIGHT, STRATEGIC PLANNING AND EXECUTION OF ADVISORY SERVICES. RENTAL PROPERTY; Not Investment-Related; 122 Fulbrite Lane, Schaumburg, IL 60194; Owner/Landlord; May 2024; 1 hour/month devoted to the business, with 1 hour/month devoted during trading hours; Duties include collecting rent and meeting the needs of the tenant.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-12-10 |
| S63 | Uniform Securities Agent State Law Examination | 1992-09-22 |
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