Geoffrey J. Francolini

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CRD#: 2387010

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.

Geoffrey Joseph Francolini, who also goes by Geoff J Francolini, Geoffrey J Francolini, was a registered financial professional .

Geoffrey is a previously registered financial professional and started their career in finance in 1993. Geoffrey had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Geoff J Francolini | Geoffrey J Francolini

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

April 10, 2018 - June 18, 2019

SPROTT ASSET MANAGEMENT USA INC.

RIA

CRD#: 139022

TORONTO, ON,

Past

April 6, 2018 - June 18, 2019

SPROTT GLOBAL RESOURCE INVESTMENTS LTD

CRD#: 35878

TORONTO,

Past

November 27, 2013 - December 1, 2017

BMO NESBITT BURNS SECURITIES LTD.

CRD#: 44057

Toronto, Ontario,

Past

August 17, 2010 - August 29, 2013

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

TORONTO, ONTARIO,

Past

April 28, 2006 - May 7, 2010

CANACCORD GENUITY LLC

CRD#: 1020

TORONTO,

Past

June 7, 2002 - October 9, 2008

CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.

CRD#: 7449

TORONTO,

Past

June 11, 1997 - April 24, 2002

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK CITY, NY

Past

May 30, 1997 - June 11, 1997

MUFG SECURITIES AMERICAS INC.

CRD#: 19685

NEW YORK, NY

Past

August 31, 1995 - April 2, 1997

RAYMOND JAMES (USA) LTD.

CRD#: 25853

VANCOUVER, B.C.,

Past

August 23, 1993 - August 9, 1995

SCOTIA CAPITAL (USA) INC.

CRD#: 2739

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SPROTT ASSET MANAGEMENT USA INC.

SPROTT ASSET MANAGEMENT USA INC. | TERRA RESOURCE INVESTMENT MANAGEMENT, INC. | TERRA RESOURCE INVESTMENT MANAGEMENT INC. | SPROTT WEALTH MANAGEMENT | SPROTT FAMILY OFFICE

CRD#: 139022 / SEC#: 801-66131

RIA

Registered Investment Advisory firm - (2/1/2006 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/31/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/20/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/3/2008

General Securities Principal Examination

Current Firm

SPROTT ASSET MANAGEMENT USA INC.

SPROTT ASSET MANAGEMENT USA INC. | TERRA RESOURCE INVESTMENT MANAGEMENT, INC. | TERRA RESOURCE INVESTMENT MANAGEMENT INC. | SPROTT WEALTH MANAGEMENT | SPROTT FAMILY OFFICE

CRD#: 139022 / SEC#: 801-66131

RIA

Registered Investment Advisory firm - (2/1/2006 Approved)

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Contact information

Main Address

320 Post Road Suite 230, Darien, CT 06820

Mailing Address

Phone number

(203) 656-2400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SPROTT ASSET MANAGEMENT USA, INC. ADV PART 2A JUNE 2, 2025 (6/2/2025)

Regulatory assets under management

Total Number of Accounts	2,613
AUM (Assets Under Management)	$ 4,636,738,041

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Geoffrey J. Francolini

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SPROTT GLOBAL RESOURCE INVESTMENTS LTD

BMO NESBITT BURNS SECURITIES LTD.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CANACCORD GENUITY LLC

CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.

HSBC SECURITIES (USA) INC.

MUFG SECURITIES AMERICAS INC.

RAYMOND JAMES (USA) LTD.

SCOTIA CAPITAL (USA) INC.

Primary Firm SEC Registration

SPROTT ASSET MANAGEMENT USA INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/31/1993

SIE

Date: 10/1/2018

Series 7

Date: 8/20/1993

Series 24

Date: 11/3/2008

Current Firm

SPROTT ASSET MANAGEMENT USA INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SPROTT ASSET MANAGEMENT USA INC.

TRUST BUT VERIFY

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