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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 2024-08-06
  • CA RA
    APPROVED
    Since 2024-08-06

Branch Locations

1910 Palomar Point Way Suite 200, Carlsbad, CA 92008 • United States

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
Acosta & Layon Vista CA 05/2014 11/2017
Sprott Global Resource Investments, Ltd. Carlsbad CA 12/2017 12/2021
Sprott Global Resource Investments, Ltd. Carlsbad CA 01/2022 Present
Sprott Asset Management Usa, Inc. Carlsbad CA 07/2023 Present
  • 05/2014 → 11/2017
    Acosta & Layon
    Vista, CA
  • 12/2017 → 12/2021
    Sprott Global Resource Investments, Ltd.
    Carlsbad, CA
  • 01/2022 → Present
    Sprott Global Resource Investments, Ltd.
    Carlsbad, CA
  • 07/2023 → Present
    Carlsbad, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-07-22
S63 Uniform Securities Agent State Law Examination 2019-07-27
  • S65 Uniform Investment Adviser Law Examination
    2024-07-22
  • S63 Uniform Securities Agent State Law Examination
    2019-07-27

View on SEC IAPD

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