TU
Thomas W. Ulrich
SPROTT ASSET MANAGEMENT USA
Darien, CT 06820
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CRD#: 3071768
TU
Professional summary
Thomas Wayne Ulrich is a registered financial advisor currently at SPROTT ASSET MANAGEMENT USA INC. located in Darien, Connecticut and RESOURCE CAPITAL INVESTMENT CORPORATION located in Darien, Connecticut.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Thomas has worked at 8 firms and has passed the Series 63, Series 65, Series 79TO, Series 99TO, SIE, Series 3, Series 7, Series 14 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
SPROTT ASSET MANAGEMENT USA INC.; 320 POST ROAD, SUITE 230, DARIEN, CT., GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER AND DIRECTOR OF SEC REGISTERED INVESTMENT ADVISER AND NFA MEMBER; INVESTMENT RELATED BEGINNING OCT 2012 AND DEVOTE APPROXIMATELY 10 OR MORE HOURS WEEKLY AS BOTH CCO AND GENERAL COUNSEL FOCUSING ON RIA COMPLIANCE. CORPORATE SECRETARY BEGINNING 1/2016, PREPARING MINUTE BOOKS, BOARD RESOLUTIONS; 1-2 HOURS ANNUALLY DURING TRADING HOURS. RESOURCE CAPITAL INVESTMENT PARTNERS 1910 PALOMAR POINT WAY, SUITE 200, CARLSBAD, CA, GENERAL COUNSEL, PRESIDENT, DIRECTOR AND CHIEF COMPLIANCE OFFICER OF SEC REGISTERED INVESTMENT ADVISER, INVESTMENT RELATED, BEGINNING JUNE 2013, DEVOTE APPROXIMATELY 10 OR MORE HOURS WEEKLY FOCUSING ON RIA COMPLIANCE. CORPORATE SECRETARY BEGINNING 1/2016, PREPARING MINUTE BOOKS, BOARD RESOLUTIONS; 1-2 HOURS ANNUALLY DURING TRADING HOURS. SPROTT FOCUS TRUST, INC.; 1910 PALOMAR POINT WAY STE 200, CARLSBAD CA 92008; START DATE: 3/6/2015; INVESTMENT RELATED; PRESIDENT (AS OF JUNE 2017), CHIEF COMPLIANCE OFFICER AND SECRETARY OF THE FUND BOARD; DUTIES: CCO OF CLOSED END FUND, OVERSIGHT, COMPLIANCE REVIEW AND ADMIN WORK FOR FUND BOARD; 5 HOURS PER MONTH DURING TRADING HOURS. SPROTT FUNDS TRUST; 1910 PALOMAR POINT WAY STE 200, CARLSBAD CA 92008; START DATE: 2018; INVESTMENT RELATED; PRESIDENT, CHIEF COMPLIANCE OFFICER AND SECRETARY OF THE TRUST; PRESIDENT OF THE TRUST BEGINNING JUNE 2023: CCO OF THE ETF SUITE AND OPEN END MUTUAL FUND, OVERSIGHT, COMPLIANCE REVIEW AND ADMIN WORK FOR FUND BOARD; 5 HOURS PER MONTH DURING TRADING HOURS. SPROTT U.S. HOLDING INC., 1910 PALOMAR POINT WAY 200, CARLSBAD CA 92008; CORPORATE SECRETARY, GENERAL COUNSEL AND DIRECTOR; BEGINNING 1/1/2016; NON-INVESTMENT RELATED: ACT AS CORPORATE SECRETARY FOR HOLDING COMPANY; 1-2 HOURS ANNUALLY DURING TRADING HOURS. SGRIL HOLDING INC., 1910 PALOMAR POINT WAY 200, CARLSBAD CA 92008; CORPORATE SECRETARY, GENERAL COUNSEL AND DIRECTOR; BEGINNING 1/1/2016; NON-INVESTMENT RELATED; DUTIES: BOARD MEETINGS, BOARD RESOLUTIONS, 1-2 HOURS ANNUALLY DURING TRADING HOURS. SELF EMPLOYED, 72 WITCH LANE, NORWALK, CT, OWNER AND MANAGER OF RENTAL PROPERTY IN CALIFORNIA AND ILLINOIS BEGINNING 12/1/2017, NON-INVESTMENT RELATED, DEVOTE 3 HOURS A MONTH NOT DURING TRADING HOURS. SPROTT PRIVATE RESOURCE LENDING CORP., 200 BAY STREET, STE 2600, TORONTO ONTARIO, CANADA; BEGINNING 12/1/2018; NON-INVESTMENT RELATED DUTIES: OFFICER AND DIRECTOR FOR VARIOUS TAX BLOCKER ENTITIES SO AS TO OPTIMIZE U.S. AND CANADIAN TAX LAWS, DEVOTE 1 HOUR A QUARTER DURING TRADING HOURS. SPROTT PRIVATE RESOURCE STREAMING AND ROYALTY CORP., 200 BAY STREET, STE 2600, TORONTO ONTARIO, CANADA; BEGINNING 12/1/2020; NON-INVESTMENT RELATED DUTIES: OFFICER AND DIRECTOR FOR VARIOUS TAX BLOCKER ENTITIES SO AS TO OPTIMIZE U.S. AND CANADIAN TAX LAWS, DEVOTE 1 HOUR A QUARTER DURING TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Wayne Ulrich's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 25, 2012 - Present
SPROTT ASSET MANAGEMENT USA INC.
Office #1: 320 Post Road Suite 220, Darien, CT 06820RIA
CRD#: 139022
Darien, CT
Current
August 1, 2013 - Present
RESOURCE CAPITAL INVESTMENT CORPORATION
Office #1: 320 Post Road Suite 220, Darien, CT 06820RIA
CRD#: 166722
Darien, CT
Current
October 19, 2012 - Present
SPROTT GLOBAL RESOURCE INVESTMENTS LTD
Office #1: 320 Post Road Suite 200, Darien, CT 06820Office #2: 200 Bay Street Suite 2600, Toronto, M5J 2J2Office #3: 212 East Stewart Ave. Floor Two, Lake Wales, FL 33853Office #4: 70 York Street Suite 700, Toronto, M5J 1S9BD
CRD#: 35878
Darien, CT
Past
April 12, 2012 - October 5, 2012
ALTEGRIS ADVISORS, LLC
RIA
CRD#: 154003
LA JOLLA, CA
Past
July 18, 2011 - October 5, 2012
ALPHAMAX DISTRIBUTORS, L.L.C.
BD
CRD#: 8258
LA JOLLA, CA
Past
June 2, 2010 - July 11, 2011
GENEVA ADVISORS, LLC
RIA
CRD#: 121629
CHICAGO, IL
Past
December 4, 2008 - July 11, 2011
GNV ADVISORS, LLC
BD
CRD#: 147286
CHICAGO, IL
Past
April 6, 2005 - June 2, 2010
GENEVA ADVISORS, LLC
RIA
CRD#: 121629
CHICAGO, IL
Past
July 20, 2004 - March 17, 2005
INVIEW INVESTMENTS
RIA
CRD#: 126876
CHICAGO, IL
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".
SA
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(10/19/2012)
IAR
California(10/25/2012)
IAR
Connecticut(1/10/2020)
RR
Connecticut(3/6/2023)
RR
Florida(10/14/2025)
IAR
Florida(11/5/2025)
IAR
New York(3/6/2023)
RR
New York(10/14/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SA
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
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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
59
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
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.
