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303 Colorado Street Ste 2050, Austin, TX 78701 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2009-09-11 |
Branch Locations
5000 Plaza On The Lake Blvd. Suite 180, Austin, TX 78746 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Prophet Capital Management Ltd | Austin | TX | 10/1995 | Present |
| Prophet Capital Asset Management | Austin | TX | 11/2008 | Present |
(1) CURRENTLY AN OWNER/DIRECTOR OF BRAVER STERN HOLDINGS, INC. ("HOLDINGS") (NON-INVESTMENT-RELATED) ("IR") 07/08, THE SOLE S/H OF BRAVER, STERN & CO., INC. ("BRAVER STERN") NON-IR, WHICH IN TURN, IS THE SOLE S/H OF BRAVER STERN SECURITIES CORP. ("BSSC"), A BROKER-DEALER REGISTERED WITH FINRA AND THE SEC, IR, MAKING MR. EPSTEIN THE INDIRECT OWNER OF BOTH BRAVER STERN AND BSSC. HOLDINGS AND BRAVER STERN ARE BOTH HOLDING COMPANIES. ALL THREE ENTITIES ARE LOCATED AT 725 FIFTH AVENUE, NEW YORK, NY 10022. EXPECTS TO SPEND A DE MINIMIS AMOUNT OF TIME WITH HOLDINGS AND BRAVER STERN; AND (2) DIRECTOR/PRES. PASCAL SECURITIES GROUP, LLC NON-IR, AUSTIN, TX, 04/08, SPENDS 1HRS/MTH, NONE OF WHICH WILL BE DURING TRADING HOURS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-09-10 |
| S63 | Uniform Securities Agent State Law Examination | 1988-12-06 |
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