YZ
Yi Zhao
SPROTT GLOBAL RESOURCE INVESTMENTS LTD
Toronto, M5J 2J2
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CRD#: 7706306
YZ
Professional summary
Yi Zhao, who also goes by Carl Zhao, is a registered financial professional currently at SPROTT GLOBAL RESOURCE INVESTMENTS LTD .
Yi is registered as a RR (Registered Representative) and started their career in finance in 2023. Yi has worked at 1 firm and has passed the Series 27 exam.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Carl Zhao
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.
CRS (Client Relationship Summary) - BD
Click below to view Yi Zhao'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
March 27, 2023 - Present
SPROTT GLOBAL RESOURCE INVESTMENTS LTD
Office #1: 200 Bay Street Suite 2600, Toronto, M5J 2J2BD
CRD#: 35878
Toronto,
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.
Exams
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SG
SPROTT GLOBAL RESOURCE INVESTMENTS LTD
GLOBAL RESOURCE INVESTMENTS, LTD. | SPROTT GLOBAL RESOURCE INVESTMENTS LTD
CRD#: 35878 / SEC#: , 8-47039
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
1910 Palomar Point Way Suite 200, Carlsbad, CA 92008
Mailing Address
1910 Palomar Point Way Suite 200, Carlsbad, CA 92008
Phone number
(800) 477-7853
Established
California since 10/27/1993
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
