Colin R. Morrison

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CRD#: 6967088

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.

Colin Robert Morrison was a registered financial professional .

Colin is a previously registered financial professional and started their career in finance in 2018. Colin had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

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

September 19, 2019 - July 8, 2022

SPROTT ASSET MANAGEMENT USA INC.

RIA

CRD#: 139022

Carlsbad, CA

Past

September 19, 2019 - July 8, 2022

SPROTT GLOBAL RESOURCE INVESTMENTS LTD

CRD#: 35878

CARLSBAD, CA

Past

June 20, 2019 - July 3, 2019

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

Carlsbad, CA

Past

August 2, 2018 - August 8, 2018

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

Carlsbad, 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".

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

IAR

Series 66

Date: 6/25/2019

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 8/8/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/2/2018

General Securities Representative 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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Colin R. Morrison

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SPROTT ASSET MANAGEMENT USA INC.

SPROTT GLOBAL RESOURCE INVESTMENTS LTD

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

SPROTT ASSET MANAGEMENT USA INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/25/2019

SIE

Date: 8/8/2018

Series 7

Date: 8/2/2018

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.

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