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Stephen Thomas Sims

Braemont Capital

Dallas, TX

Charlotte, NC

CRD 5362317

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Employer firm

Braemont Capital CRD 314704

$913M regulatory AUM

Reported services (Item 5G)

  • Portfolio management (pooled vehicles)

From the firm’s Form ADV. Read the guides:

Current Employers
Braemont Capital

3963 Maple Avenue Suite 290, Dallas, TX 75219 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2021-10-26
TX RA APPROVED 2021-10-26
  • NC RA
    APPROVED
    Since 2021-10-26
  • TX RA
    APPROVED
    Since 2021-10-26

Branch Locations

3963 Maple Avenue Suite 290, Dallas, TX 75219 • United States

4201 Congress St Suite 470, Charlotte, NC 28209 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
J.P. Morgan Chase Bank Na Dallas TX 08/2016 12/2020
J.P. Morgan Securities Llc Dallas TX 08/2016 12/2020
New Republic Capital, Llc Charlotte NC 12/2020 09/2021
Braemont Capital Management Llc Dallas TX 09/2021 Present
  • 08/2016 → 12/2020
    J.P. Morgan Chase Bank Na
    Dallas, TX
  • 08/2016 → 12/2020
    J.P. Morgan Securities Llc
    Dallas, TX
  • 12/2020 → 09/2021
    New Republic Capital, Llc
    Charlotte, NC
  • 09/2021 → Present
    Braemont Capital Management Llc
    Dallas, TX
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2016-09-02
S66 Uniform Combined State Law Examination 2007-07-12
  • S63 Uniform Securities Agent State Law Examination
    2016-09-02
  • S66 Uniform Combined State Law Examination
    2007-07-12
Designations
  • Chartered Financial Analyst
Other Names
  • Stephen Thomas Sims
  • Stephen Sims

View on SEC IAPD

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