JH
Julia C. Hathaway
SPROTT GLOBAL RESOURCE INVESTMENTS LTD
Carlsbad, CA 92008
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CRD#: 6320163
JH
Professional summary
Julia Catherine Hathaway is a registered financial professional currently at SPROTT GLOBAL RESOURCE INVESTMENTS LTD located in Carlsbad, California.
Julia is registered as a RR (Registered Representative) and started their career in finance in 2014. Julia has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Julia Catherine Hathaway'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
February 5, 2020 - Present
SPROTT GLOBAL RESOURCE INVESTMENTS LTD
Office #1: 1910 Palomar Point Way Suite 200, Carlsbad, CA 92008BD
CRD#: 35878
Carlsbad, CA
Past
May 6, 2014 - January 27, 2020
TOCQUEVILLE SECURITIES L.P.
BD
CRD#: 26001
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(2/6/2020)
RR
Alaska(2/6/2020)
RR
Arizona(2/6/2020)
RR
Arkansas(2/6/2020)
RR
California(2/6/2020)
RR
Colorado(2/6/2020)
RR
Connecticut(2/6/2020)
RR
Delaware(2/6/2020)
RR
District of Columbia(2/6/2020)
RR
Florida(2/6/2020)
RR
Georgia(2/6/2020)
RR
Hawaii(2/6/2020)
RR
Idaho(2/6/2020)
RR
Illinois(2/6/2020)
RR
Indiana(2/6/2020)
RR
Iowa(2/6/2020)
RR
Kansas(2/6/2020)
RR
Kentucky(2/6/2020)
RR
Louisiana(2/6/2020)
RR
Maine(2/6/2020)
RR
Maryland(2/6/2020)
RR
Massachusetts(2/6/2020)
RR
Michigan(2/6/2020)
RR
Minnesota(2/6/2020)
RR
Mississippi(2/6/2020)
RR
Missouri(2/6/2020)
RR
Montana(2/6/2020)
RR
Nebraska(2/6/2020)
RR
Nevada(2/6/2020)
RR
New Hampshire(2/6/2020)
RR
New Jersey(2/6/2020)
RR
New Mexico(2/6/2020)
RR
New York(2/5/2020)
RR
North Carolina(2/6/2020)
RR
North Dakota(2/6/2020)
RR
Ohio(2/6/2020)
RR
Oklahoma(2/6/2020)
RR
Oregon(2/6/2020)
RR
Pennsylvania(2/6/2020)
RR
Puerto Rico(2/6/2020)
RR
Rhode Island(2/6/2020)
RR
South Carolina(2/6/2020)
RR
South Dakota(2/6/2020)
RR
Tennessee(2/6/2020)
RR
Texas(2/6/2020)
RR
Utah(2/6/2020)
RR
Vermont(2/6/2020)
RR
Virginia(2/6/2020)
RR
Washington(2/6/2020)
RR
West Virginia(2/6/2020)
RR
Wisconsin(2/6/2020)
RR
Wyoming(2/6/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SG
SPROTT GLOBAL RESOURCE INVESTMENTS LTD
GLOBAL RESOURCE INVESTMENTS, LTD. | SPROTT GLOBAL RESOURCE INVESTMENTS LTD
CRD#: 35878 / SEC#: , 8-47039
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
1910 Palomar Point Way Suite 200, Carlsbad, CA 92008
Mailing Address
1910 Palomar Point Way Suite 200, Carlsbad, CA 92008
Phone number
(800) 477-7853
Established
California since 10/27/1993
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
