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AT

Anastasios N. Thermos

SPROTT ASSET MANAGEMENT USA
New York, NY 10110
Some features on this profile are disabled
CRD#: 7279029
AT

Professional summary

Anastasios N Thermos, who also goes by Anastasios Thermos, Stasi Thermos, is a registered financial advisor currently at SPROTT ASSET MANAGEMENT USA INC. located in New York, New York and SPROTT GLOBAL RESOURCE INVESTMENTS LTD located in New York, New York.

Anastasios is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Anastasios has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Anastasios Thermos | Stasi Thermos

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) - RIA

Click below to view Anastasios N Thermos's CRS (Customer Relationship Summary).
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®
None

Experience

Current

May 6, 2026 - Present

SPROTT ASSET MANAGEMENT USA INC.

Office #1: 500 Fifth Avenue Suite 3020, New York, NY 10110
RIA
CRD#: 139022
New York, NY
Current

May 6, 2026 - Present

SPROTT GLOBAL RESOURCE INVESTMENTS LTD

Office #1: 500 Fifth Avenue Suite 3020, New York, NY 10110
BD
CRD#: 35878
New York, NY
Past

July 12, 2022 - April 13, 2026

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NEW YORK, NY
Past

May 9, 2022 - April 13, 2026

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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
New York
(5/6/2026)
IAR
New York
(5/6/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/11/2022
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/9/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/7/2022
Securities Industry Essentials Examination
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)
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts2,613
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.

Company Information

SPROTT ASSET MANAGEMENT USA INC.

CRD#: 139022New York, NY 10110

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