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320 Post Road Suite 230, Darien, CT 06820 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2016-02-24 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sprott Global Resource Investments | Carlsbad | CA | 03/2009 | Present |
| Sprott Asset Management Usa, Inc. | Carlsbad | CA | 02/2016 | Present |
MILES FRANKLIN LTD.,801 TWELVE OAKS CENTER DRIVE, SUITE #834, WAYZATA, MN 55391; PRECIOUS METALS DEALER; INVESTMENT RELATED; RELATIONSHIP: INDEPENDENT DEALER OF BULLION; START DATE: 12/1/2012; COMPENSATION: COMMISSION ON SALES; NATURE OF BUSINESS: SUPLEMENTAL OFFERING TO SPROTT GLOBAL'S CLIENTS; ESTIMATED TIME DEVOTED: ONE HOUR PER MONTH. TAOS COUNTY HIGH ENERGY LLC; 150 OLD STATE ROAD 3, SAN CRISTOBAL NM 87564; FARMING/BED & BREAKFAST; RELATIONSHIP: LLC MEMBER; NO DUTIES; START DATE: 02/23/2016; COMPENSATION: MEMBER DISTRIBUTIONS; APPROXIMATE NUMBER OF HOURS DEVOTED TO BUSINESS: NONE; BUSINESS NOT CONDUCTED DURING TRADING HOURS; DUTIES: PASSIVE MEMBER.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-02-12 |
| S63 | Uniform Securities Agent State Law Examination | 2010-06-23 |
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