Thomas Ulrich is General Counsel & Chief Compliance Officer and Director of Sprott Asset Management USA, is a control person of the firm and directly owns under 5% of it. Thomas Ulrich holds a JD from Creighton University School of Law and a BA in English from the University of Nebraska.
Sprott Asset Management USA Inc. is a Darien, CT firm with $10.1B under management, 3,362 clients and 35 advisers across 5 offices, as of its March 2026 filing.
Tom Ulrich is Managing Partner of Sprott Inc. and General Counsel & Chief Compliance Officer of Sprott Asset Management USA, Inc. Before joining Sprott in 2012 he served as Chief Compliance Officer for Altegris Advisors, L.L.C. and Altegris Funds in La Jolla, California. Earlier he was Partner, General Counsel & Chief Compliance Officer at Geneva Investment Management in Chicago, Illinois.
Thomas Ulrich’s longest registration is the current one, 13 years at Sprott Asset Management USA since 2012. Before joining Sprott Asset Management USA in 2012, Thomas Ulrich was registered through Altegris Advisors, LLC and Geneva Investment Management of Chicago, LLC.
- Resource Capital Investment CorporationAlso current– present · 13 yearsDarien, CT · Adviser representative · Firm CRD 166722
- – present · 13 yearsDarien, CT · Adviser representative · Firm CRD 139022
- Altegris Advisors, LLC– · under a yearLa Jolla, CA · Adviser representative · Firm CRD 154003
- Geneva Investment Management of Chicago, LLC– · 6 yearsChicago, IL · Adviser representative · Firm CRD 121629
- Inview Investment Management, LLC– · under a yearChicago, IL · Adviser representative · Firm CRD 126876
Investment adviser representative registrations
Thomas Ulrich is registered as an investment adviser representative in 4 states. The first approvals date from October 2012; the most recent is Florida, in November 2025.
- CaliforniaSince 25 October 2012
- ConnecticutSince 10 January 2020
- FloridaSince 5 November 2025
- New YorkSince 6 March 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 79TO | Investment Banking Registered Representative Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 3 | National Commodity Futures Examination | 30 September 2011 |
| Series 24 | General Securities Principal Examination | 6 March 2009 |
| Series 63 | Uniform Securities Agent State Law Examination | 19 December 2008 |
| Series 7 | General Securities Representative Examination | 3 December 2008 |
| Series 65 | Uniform Investment Adviser Law Examination | 28 April 1999 |
- Name
- Compliance Officer Examination
- Name
- Investment Banking Registered Representative Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- National Commodity Futures Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Thomas Wayne Ulrich
- CRD
- 3071768
- Firm
- Sprott Asset Management USA · CRD 139022
- Role
- General Counsel & Chief Compliance Officer; Director
- Office
- 320 Post Road, Suite 200, Darien, CT 06820
- Registration
- Investment adviser and broker registrations
- In the industry since
- August 2004
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- sprott.com
Where does Thomas Ulrich work?
Thomas Ulrich is General Counsel & Chief Compliance Officer; Director of Sprott Asset Management USA Inc., and is a control person of the firm.
Is Thomas Ulrich a financial advisor?
Yes. Thomas Ulrich has a current investment-adviser registration in California, Connecticut, Florida and New York, through Sprott Asset Management USA since October 2012.
How many years of experience does Thomas Ulrich have?
Thomas Ulrich has 22 years in the financial industry, since August 2004, across 5 adviser firms.
What exams has Thomas Ulrich passed?
Thomas Ulrich has passed 8 licensing exams: the Series 65, Series 7, Series 63, Series 24, Series 3, Series 14, Series 79TO and Series 99TO. The earliest, the Series 65, was passed in April 1999. FINRA credited Thomas Ulrich with the SIE, which began in October 2018.
Where did Thomas Ulrich work before Sprott Asset Management USA?
Before Sprott Asset Management USA, Thomas Ulrich was registered through Altegris Advisors, LLC, April 2012 to October 2012; Geneva Investment Management of Chicago, LLC, April 2005 to July 2011; Inview Investment Management, LLC, July 2004 to March 2005.
Where is Thomas Ulrich based?
Thomas Ulrich’s registered office is in Darien, CT.
Is Thomas Ulrich registered with FINRA?
Yes. Thomas Ulrich has a current broker registration, under CRD 3071768.
Source: FINRA BrokerCheck
How can I verify Thomas Ulrich’s record?
Search CRD 3071768 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Thomas Ulrich’s full registration record.
