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40 West 57Th Street 19Th Floor, New York, NY 10019 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-21 |
Branch Locations
40 West 57Th Street 19Th Floor, New York, NY 10019 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tocqueville Securities L.P. | New York | NY | 09/2004 | Present |
TOCQUEVILLE ASSET MANAGEMENT L.P, INVESTMENT ADVISOR, IS AN AFFILIATE OF AND OPERATES OUT OF THE SAME OFFICES AS TOCQUEVILLE SECURITIES L.P.,EMPLOYMENT DATE: 09/13/04, TITLE PORTFOLIO MANAGER, APPROXIMATELY 94% TO 96% (APPROXIMATELY 165 HOURS) OF TIME A MONTH IS DEVOTED TO TOCQUEVILLE ASSET MANAGEMENT L.P. AND VARIES ACCORDING TO BUSINESS REQUIREMENTS. CONSULTING SERVICES, TITLE EQUITY MARKET CONSULTANT, PROPRIETOR, START DATE 05/2019, OPERATES OUT OF HOME ADDRESS, APPROXIMATELY 4-6 HOURS PER MONTH AND 2-3 HOURS PER MONTH DURING TRADING HOURS, PROVIDING EQUITY MARKET COMMENTARY.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-10-08 |
| S63 | Uniform Securities Agent State Law Examination | 1980-02-25 |
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