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320 Post Road Suite 230, Darien, CT 06820 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-01 |
| TX | RA | APPROVED_RES | 2006-02-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sprott Global Resource Investments, Ltd. | Carlsbad | CA | 12/1994 | Present |
| Sprott Asset Management Usa, Inc. | Carlsbad | CA | 01/2006 | Present |
SPROTT ASSET MANAGEMENT USA INC.,INVESTMENT RELATED, WHOLLY OWNED SUBSIDIARY OF SPROTT U.S. HOLDINGS, INC. 7770 EL CAMINO REAL, CARLSBAD, CA 92009,CORPORATION; TYPE OF BUSINESS:REGISTERED INVESTMENT ADVISOR; ROLE: ADVISORY REPRESENTATIVE, ACTS AS INVESTMENT ADVISORY REPRESENTATIVE FOR CLIENTS, ADMINISTERS TRADING AND CONDUCTS OTHER BUSINESS AS REQUIRED; AMOUNT OF TIME DEVOTED: 50% OF HER TIME. START DATE: 1/2006.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-07-01 |
| S63 | Uniform Securities Agent State Law Examination | 1995-02-01 |
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