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Simon Mark Beresford

Corient

Frisco, TX

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Current Employers
Corient

830 Brickell Plaza Suite 4800, Miami, FL 33131 • United States

Current Registrations

AuthorityCategoryStatusDate
OK RA APPROVED 2026-07-07
TX RA APPROVED 2026-07-07
  • OK RA
    APPROVED
    Since 2026-07-07
  • TX RA
    APPROVED
    Since 2026-07-07

Branch Locations

3001 Dallas Parkway Suite 550, Frisco, TX 75034 • 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
Td Ameritrade, Inc. Plano TX 05/2008 07/2018
Capital Advisors, Inc. Frisco TX 07/2018 06/2026
Corient Frisco TX 06/2026 Present
Previous Registrations
  • 2018-08-01 → 2026-07-17
    Capital Advisors, Inc.
    Frisco, TX
    Tulsa, OK
  • 2018-02-27 → 2018-07-20
    Td Ameritrade, Inc.
    Frisco, TX
  • 2018-02-26 → 2018-07-20
    Td Ameritrade Investment Management, Llc
    Omaha, NE
  • 2016-06-14 → 2018-02-26
    Scottrade Investment Management
    Saint Louis, MO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-06-14
S63 Uniform Securities Agent State Law Examination 2008-06-23
  • S66 Uniform Combined State Law Examination
    2016-06-14
  • S63 Uniform Securities Agent State Law Examination
    2008-06-23
Designations
Other Names
  • Simon Mark Beresford
  • Simon M Beresford

View on SEC IAPD

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