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Michael Castaneda

SPROTT ASSET MANAGEMENT USA
CARLSBAD, CA 92008
Some features on this profile are disabled
CRD#: 7520462
MC

Professional summary

Michael Castaneda is a registered financial advisor currently at SPROTT ASSET MANAGEMENT USA INC. located in Carlsbad, California and SPROTT GLOBAL RESOURCE INVESTMENTS LTD located in Carlsbad, California.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2024. Michael has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

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.
CAST INVESTMENT MANAGEMENT, LLC; investment-related; San Diego, CA; investment club; founder and private placement partner; founded in February 2021; 0 hours/month dedicated; 0 hours dedicated during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Castaneda'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

December 5, 2024 - Present

SPROTT ASSET MANAGEMENT USA INC.

Office #1: 1910 Palomar Point Way, Suite 200, Carlsbad, CA 92008
RIA
CRD#: 139022
CARLSBAD, CA
Current

February 21, 2024 - Present

SPROTT GLOBAL RESOURCE INVESTMENTS LTD

Office #1: 1910 Palomar Point Way Suite 200, Carlsbad, CA 92008
BD
CRD#: 35878
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".
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
California
(12/5/2024)
IAR
California
(12/5/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/27/2024
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/5/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/26/2023
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)
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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#: 139022Carlsbad, CA 92008

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