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Current Employers
Sprott Asset Management Usa Inc.

320 Post Road Suite 230, Darien, CT 06820 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2016-05-10
  • CA RA
    APPROVED
    Since 2016-05-10

Branch Locations

320 Post Road Suite 230, Darien, CT 06820 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
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
  • 04/2016 → 10/2019
    Sprott Global Resource Investments Ltd.
    Carlsbad, CA
  • 05/2016 → Present
    Sprott Assett Management Usa, Inc.
    Carlsbad, CA
  • 10/2019 → Present
    Sprott Global Resource Investments, Ltd.
    Carlsbad, CA
Previous Registrations
Other Businesses

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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-08-13
S63 Uniform Securities Agent State Law Examination 2014-09-24
  • S65 Uniform Investment Adviser Law Examination
    2015-08-13
  • S63 Uniform Securities Agent State Law Examination
    2014-09-24

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