Stephen T. Sims
Professional summary
Stephen Thomas Sims, who also goes by Stephen Sims, is a registered financial advisor currently at BRAEMONT CAPITAL located in Charlotte, North Carolina.
Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Stephen has worked at 5 firms and has passed the Series 63, Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Thomas Sims's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 26, 2021 - Present
BRAEMONT CAPITAL
Office #1: 4201 Congress St Suite 470, Charlotte, NC 28209January 5, 2021 - October 31, 2021
NEW REPUBLIC PARTNERS
August 25, 2016 - January 11, 2021
J.P. MORGAN SECURITIES LLC
July 21, 2009 - August 16, 2011
HARRIS WILLIAMS
July 3, 2007 - June 3, 2008
COMMONWEALTH FINANCIAL NETWORK
Primary Firm SEC Registration
BRAEMONT CAPITAL
CRD#: 314704 / SEC#: 801-121709
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(10/26/2021)
(10/26/2021)
Exams
Series 7TO
Date: 3/14/2024
General Securities Representative ExaminationCurrent Firm
BRAEMONT CAPITAL
CRD#: 314704 / SEC#: 801-121709
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5 |
| AUM (Assets Under Management) | $ 664,586,888 |
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.
