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320 Post Road Suite 230, Darien, CT 06820 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-08-07 |
Branch Locations
1910 Palomar Point Way, Suite 200, Carlsbad, CA 92008 • United States
320 Post Road Suite 230, Darien, CT 06820 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sprott Global Resource Investments, Ltd. | Carlsbad | CA | 06/2023 | 05/2024 |
| Aced Trading Llc | San Diego | CA | 09/2019 | 09/2022 |
| Spina Farms Pumpkin Patch | San Jose | CA | 10/2019 | 11/2022 |
| Corinthian International Parking Services | Soquel | CA | 01/2019 | 06/2019 |
| Westside Grill | Gilroy | CA | 08/2016 | 04/2017 |
| Student | San Diego | CA | 11/2022 | 06/2023 |
| Student | Gilroy | CA | 04/2017 | 01/2019 |
| Sprott Global Resource Investments, Ltd. | Carlsbad | CA | 05/2024 | Present |
| Sprott Asset Management Usa, Inc. | Carlsbad | CA | 07/2023 | 05/2024 |
| Sprott Asset Management Usa, Inc. | Carlsbad | CA | 05/2024 | Present |
SPINA FARMS PUMPKIN PATCH; not investment-related; Hollister, CA; Family Business; started in September 2023; Approximate number of hours devoted to business: 100/month; Approximate number of hours devoted during trading hours: 0/month. C&S FARMS LLC; not investment-related; Campbell, CA; Seasonal Coffee Stand; started in March 2025; Approximate number of hours devoted to business: 25/month; Approximate number of hours devoted during trading hours: 0/month. MILES FRANKLIN; Investment-related; 801 Twelve Oaks Center Dr., Wayzata, MN 55391; Bullion purchase/storage; Refer interested clients/prospects; October 2023; 0.5 hours/month; 0.5 hours/month during trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-08-05 |
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