JB
John M. Barker
SPROTT ASSET MANAGEMENT USA
Darien, CT 06820
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CRD#: 6187222
JB
Professional summary
John M Barker is a registered financial advisor currently at SPROTT ASSET MANAGEMENT USA INC. located in Darien, Connecticut and SPROTT GLOBAL RESOURCE INVESTMENTS LTD located in Carlsbad, California.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. John has worked at 3 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55 and Series 7 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.
MONETARY METALS; INVESTMENT RELATED; 7014 E CAMELBACK RD, STE B100A, SCOTTSDALE AZ 85251; GOLD AND BULLION LEASING/BUYING/SELLING; BROKER; SELL GOLD LEASES; START DATE 4/17/2019; 2 HOURS/MONTH; SELLING GOLD LEASES MILES FRANKLIN LTD; 801 TWELVE OAKS CENETER DR, WAYZATA MN 55391; INVESTMENT-RELATED; GOLD BULLION SALES; BROKER; START DATE 12/2018; 1 HOUR/MONTH; SELL BULLION Name of Business: AIR BNB; online business (room rental) based in San Francisco, CA; position: facilitator of renting own living space, spare bedroom; number of hours/month devoted: 4 hours per month, zero during business hours; not investment related; start date: May 2015. BITCLOUT - THE SURFING ECONOMIST; NOT INVESTMENT RELATED; 817 KALPATI CIRCLE 116, CARLSBAD CA 92008; BLOG; BLOGGER; START DATE 04/14/2021; APPROX 5 HOURS DEVOTED PER MONTH, NONE DURING TRADING HOURS. VINOVEST; Not Investment-Related; 9900 Culver Blvd PHE, Culver City, CA 90232; Wine investments; Referrals; February 2023; Approximately 5 hours devoted per month, none during trading hours; Refers clients to Vinovest for a commission. CRAFT DISTILLING GROUP; Investment-Related; 51a George Street TW9 1HJ London, UK; Broker for whiskey investments (casks) and potential distillery ownership; July 2024; Approximately 10 hours devoted per month, none during trading hours; Connects company with potential investors. PORTUGARL FARM; Not Investment-Related; Lamego, Portugal; Owner/Partner of a blueberry farm; October 2024; Approximately 20 hours devoted per month, none during trading hours; Managed by a third party, but will receive profits.
CRS (Client Relationship Summary) - RIA
Click below to view John M Barker'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
May 10, 2016 - Present
SPROTT ASSET MANAGEMENT USA INC.
Office #1: 320 Post Road Suite 230, Darien, CT 06820RIA
CRD#: 139022
Darien, CT
Current
May 9, 2016 - Present
SPROTT GLOBAL RESOURCE INVESTMENTS LTD
Office #1: 1910 Palomar Point Way Suite 200, Carlsbad, CA 92008BD
CRD#: 35878
Carlsbad, CA
Past
August 25, 2015 - April 26, 2016
A.G.P. / ALLIANCE GLOBAL PARTNERS
RIA
CRD#: 8361
NEWPORT BEACH, CA
Past
August 25, 2014 - April 26, 2016
A.G.P. / ALLIANCE GLOBAL PARTNERS
BD
CRD#: 8361
NEWPORT BEACH, CA
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
Alabama(5/9/2016)
RR
Alaska(5/9/2016)
RR
Arizona(5/9/2016)
RR
Arkansas(5/9/2016)
RR
California(5/9/2016)
IAR
California(5/10/2016)
RR
Colorado(5/9/2016)
RR
Connecticut(5/9/2016)
RR
Delaware(5/9/2016)
RR
District of Columbia(5/9/2016)
RR
Florida(5/9/2016)
RR
Georgia(5/9/2016)
RR
Hawaii(5/9/2016)
RR
Idaho(5/9/2016)
RR
Illinois(5/9/2016)
RR
Indiana(5/9/2016)
RR
Iowa(5/9/2016)
RR
Kansas(5/9/2016)
RR
Kentucky(5/9/2016)
RR
Louisiana(5/9/2016)
RR
Maine(5/9/2016)
RR
Maryland(5/9/2016)
RR
Massachusetts(5/9/2016)
RR
Michigan(5/9/2016)
RR
Minnesota(5/9/2016)
RR
Mississippi(5/9/2016)
RR
Missouri(5/9/2016)
RR
Montana(5/9/2016)
RR
Nebraska(5/9/2016)
RR
Nevada(5/9/2016)
RR
New Hampshire(5/9/2016)
RR
New Jersey(5/9/2016)
RR
New Mexico(5/9/2016)
RR
New York(5/9/2016)
RR
North Carolina(5/10/2016)
RR
North Dakota(5/9/2016)
RR
Ohio(5/9/2016)
RR
Oklahoma(5/9/2016)
RR
Oregon(5/9/2016)
RR
Pennsylvania(5/9/2016)
RR
Puerto Rico(5/9/2016)
RR
Rhode Island(5/9/2016)
RR
South Carolina(5/9/2016)
RR
South Dakota(5/9/2016)
RR
Tennessee(5/9/2016)
RR
Texas(5/9/2016)
RR
Utah(5/9/2016)
RR
Vermont(5/9/2016)
RR
Virginia(5/9/2016)
RR
Washington(5/9/2016)
RR
West Virginia(5/9/2016)
RR
Wisconsin(5/9/2016)
RR
Wyoming(5/9/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 7/7/2015
Limited Representative-Equity Trader ExamGeneral Industry/Product 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.
