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Sprott Asset Management Usa Inc. CRD 139022
$10.1B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
320 Post Road Suite 230, Darien, CT 06820 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-08-06 |
Branch Locations
1910 Palomar Point Way Suite 200, Carlsbad, CA 92008 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-07-22 |
| S63 | Uniform Securities Agent State Law Examination | 2019-07-27 |
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