RW
Robert J. Waldie
SPROTT ASSET MANAGEMENT USA
TORONTO, ON, M5J 2J1
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CRD#: 6923788
RW
Professional summary
Robert John Waldie, who also goes by R John Waldie, is a registered financial advisor currently at SPROTT ASSET MANAGEMENT USA INC. and SPROTT GLOBAL RESOURCE INVESTMENTS LTD .
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Robert has worked at 2 firms and has passed the Series 63, SIE, Series 38 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
R John Waldie
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 CAPITAL PARTNERS; YES, INVESTMENT RELATED; 200 BAY STREET, SUITE 2600, TORONTO, ON, M5J 2J1, CANADA; PORTFOLIO MANAGER; BEGINNING 03/05/18; APPROX. 160 HOURS A MONTH, ALL GENERALLY DURING SECURITIES TRADING HOURS; DUTIES INCLUDE INVESTMENT ADVISORY SERVICES, PORTFOLIO MANAGEMENT, ORDER EXECUTION. SPROTT ASSET MANAGEMENT USA INC; YES, INVESTMENT RELATED; 200 BAY STREET, SUITE 2600 TORONTO, ON, M5J 2J1, CANADA; PORTFOLIO MANAGER; BEGINNING 04/09/18; APPROX. 40 HOURS A MONTH, ALL GENERALLY DURING SECURITIES TRADING HOURS; DUTIES INCLUDE INVESTMENT ADVISORY SERVICES.
CRS (Client Relationship Summary) - RIA
Click below to view Robert John Waldie'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
April 10, 2018 - Present
SPROTT ASSET MANAGEMENT USA INC.
Office #1: 200 Bay Street Suite 2600, Toronto, On, M5J 2J1RIA
CRD#: 139022
TORONTO, ON,
Current
April 9, 2018 - Present
SPROTT GLOBAL RESOURCE INVESTMENTS LTD
Office #1: 200 Bay Street Suite 2600, Toronto, M5J 2J2Office #2: 70 York Street Suite 700, Toronto, M5J 1S9BD
CRD#: 35878
Toronto,
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(9/4/2018)
RR
Alaska(9/4/2018)
RR
Arizona(8/30/2018)
RR
Arkansas(9/4/2018)
IAR
California(4/10/2018)
RR
California(8/30/2018)
RR
Colorado(9/4/2018)
RR
Connecticut(8/30/2018)
RR
Delaware(9/4/2018)
RR
District of Columbia(9/4/2018)
RR
Florida(8/30/2018)
RR
Georgia(9/4/2018)
RR
Hawaii(9/4/2018)
RR
Idaho(9/4/2018)
RR
Illinois(9/4/2018)
RR
Indiana(9/4/2018)
RR
Iowa(9/4/2018)
RR
Kansas(9/4/2018)
RR
Kentucky(9/4/2018)
RR
Louisiana(9/4/2018)
RR
Maine(9/4/2018)
RR
Maryland(9/4/2018)
RR
Massachusetts(9/4/2018)
RR
Michigan(8/30/2018)
RR
Minnesota(9/4/2018)
RR
Mississippi(9/4/2018)
RR
Missouri(9/4/2018)
RR
Montana(9/4/2018)
RR
Nebraska(9/4/2018)
RR
Nevada(9/4/2018)
RR
New Hampshire(9/4/2018)
RR
New Jersey(8/30/2018)
RR
New Mexico(9/4/2018)
RR
New York(8/30/2018)
RR
North Carolina(9/4/2018)
RR
North Dakota(9/4/2018)
RR
Ohio(9/4/2018)
RR
Oklahoma(9/4/2018)
RR
Oregon(9/4/2018)
RR
Pennsylvania(8/30/2018)
RR
Puerto Rico(9/4/2018)
RR
Rhode Island(9/4/2018)
RR
South Carolina(9/4/2018)
RR
South Dakota(9/4/2018)
RR
Tennessee(9/4/2018)
RR
Texas(8/30/2018)
RR
Utah(9/4/2018)
RR
Vermont(9/4/2018)
RR
Virginia(9/4/2018)
RR
Washington(8/30/2018)
RR
West Virginia(9/4/2018)
RR
Wisconsin(8/30/2018)
RR
Wyoming(9/4/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 38
Date: 4/9/2018
Canada Module of the General Securities Registered Representative (Without Options Questions)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
Registered Investment Advisory firm - (2/1/2006 Approved)Upgrade to AdvisorCheck Premium
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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.
