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320 Post Road Suite 230, Darien, CT 06820 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2025-12-03 |
| CT | RA | APPROVED | 2016-02-02 |
Branch Locations
212 East Stewart Avenue Floor Two, Lake Wales, FL 33853 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sprott Global Resource Investments, Ltd. | Carlsbad | CA | 01/2016 | Present |
| Sprott Asset Management, Lp | Toronto | 01/2016 | Present | |
| Sprott Asset Management Usa, Inc. | New York | NY | 01/2020 | Present |
SPROTT ASSET MANAGEMENT LP; INVESTMENT RELATED, AFFILIATE; 200 BAY STREET, SUITE 2600, TORONTO, ONTARIO, M5J 2JI; SENIOR MANAGING DIRECTOR, NATIONAL SALES; EFFECTIVE JANUARY 2016; AROUND 40 HOURS DEVOTED WEEKLY; WORK PRIMARILY CONDUCTED DURING TRADING HOURS; GENERATE SALES LEADS. SPROTT ASSET MANAGEMENT USA, INC., AN AFFILIATE OF SPROTT GLOBAL RESOURCE INVESTMENTS LTD. AND WHOLLY OWNED SUBSIDIARY OF SPROTT INC.; YES; INVESTMENT RELATED; SENIOR MANAGING DIRECTOR, GLOBAL SALES; BEGINNING FEBRUARY 2, 2016; APPROXIMATELY 160 HOURS A MONTH, ALL GENERALLY DURING SECURITIES TRADING HOURS; DUTIES INCLUDE INVESTMENT ADVISORY SERVICES.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-01-26 |
| S63 | Uniform Securities Agent State Law Examination | 1995-08-21 |
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