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320 Post Road Suite 230, Darien, CT 06820 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2016-05-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sprott Global Resource Investments Ltd. | Carlsbad | CA | 04/2016 | 10/2019 |
| Sprott Assett Management Usa, Inc. | Carlsbad | CA | 05/2016 | Present |
| Sprott Global Resource Investments, Ltd. | Carlsbad | CA | 10/2019 | Present |
MONETARY METALS; INVESTMENT RELATED; 7014 E CAMELBACK RD, STE B100A, SCOTTSDALE AZ 85251; GOLD AND BULLION LEASING/BUYING/SELLING; BROKER; SELL GOLD LEASES; START DATE 4/17/2019; 2 HOURS/MONTH; SELLING GOLD LEASES MILES FRANKLIN LTD; 801 TWELVE OAKS CENETER DR, WAYZATA MN 55391; INVESTMENT-RELATED; GOLD BULLION SALES; BROKER; START DATE 12/2018; 1 HOUR/MONTH; SELL BULLION Name of Business: AIR BNB; online business (room rental) based in San Francisco, CA; position: facilitator of renting own living space, spare bedroom; number of hours/month devoted: 4 hours per month, zero during business hours; not investment related; start date: May 2015. BITCLOUT - THE SURFING ECONOMIST; NOT INVESTMENT RELATED; 817 KALPATI CIRCLE 116, CARLSBAD CA 92008; BLOG; BLOGGER; START DATE 04/14/2021; APPROX 5 HOURS DEVOTED PER MONTH, NONE DURING TRADING HOURS. VINOVEST; Not Investment-Related; 9900 Culver Blvd PHE, Culver City, CA 90232; Wine investments; Referrals; February 2023; Approximately 5 hours devoted per month, none during trading hours; Refers clients to Vinovest for a commission. CRAFT DISTILLING GROUP; Investment-Related; 51a George Street TW9 1HJ London, UK; Broker for whiskey investments (casks) and potential distillery ownership; July 2024; Approximately 10 hours devoted per month, none during trading hours; Connects company with potential investors. PORTUGARL FARM; Not Investment-Related; Lamego, Portugal; Owner/Partner of a blueberry farm; October 2024; Approximately 20 hours devoted per month, none during trading hours; Managed by a third party, but will receive profits.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-08-13 |
| S63 | Uniform Securities Agent State Law Examination | 2014-09-24 |
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