Caron M. Caruso
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Caron Marie Caruso was a registered financial professional .
Caron is a previously registered financial professional and started their career in finance in 1989. Caron had worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2012 - January 27, 2015
SPROTT ASSET MANAGEMENT USA INC.
February 10, 2006 - August 31, 2011
SPROTT ASSET MANAGEMENT USA INC.
December 3, 1996 - January 27, 2015
SPROTT GLOBAL RESOURCE INVESTMENTS LTD
March 27, 1996 - September 11, 1996
SENTRA SECURITIES CORPORATION
April 6, 1994 - April 12, 1994
PACIFIC CORTEZ SECURITIES INCORPORATED
September 26, 1991 - March 21, 1994
CENTEX SECURITIES, INCORPORATED
March 22, 1991 - September 9, 1991
SECURITIES RESOLUTION CORPORATION
April 5, 1990 - March 1, 1991
CITIGROUP GLOBAL MARKETS INC.
July 18, 1989 - March 26, 1990
MORGAN ROBERTS & CO.
Primary Firm SEC Registration
SPROTT ASSET MANAGEMENT USA INC.
CRD#: 139022 / SEC#: 801-66131
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SPROTT ASSET MANAGEMENT USA INC.
CRD#: 139022 / SEC#: 801-66131
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,613 |
| AUM (Assets Under Management) | $ 4,636,738,041 |
Red Flags
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