Nataly King
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.
Nataly King, who also goes by Nataly Arias Zuzunaga, was a registered financial professional .
Nataly is a previously registered financial professional and started their career in finance in 2022. Nataly had worked at 3 firms and has passed the Series 66, Series 3, Series 7TO, SIE and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2023 - August 20, 2025
SPROTT ASSET MANAGEMENT USA INC.
April 25, 2022 - August 20, 2025
SPROTT GLOBAL RESOURCE INVESTMENTS LTD
February 7, 2022 - April 14, 2022
ALPHAMAX DISTRIBUTORS, L.L.C.
Primary Firm SEC Registration
SPROTT ASSET MANAGEMENT USA INC.
CRD#: 139022 / SEC#: 801-66131
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 2/7/2022
General Securities Representative ExaminationCurrent Firm
SPROTT ASSET MANAGEMENT USA INC.
CRD#: 139022 / SEC#: 801-66131
Contact information
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.
