Simon M. Beresford
Professional summary
Simon Mark Beresford, CFP®, who also goes by Simon M Beresford, is a registered financial advisor currently at CAPITAL ADVISORS, INC. located in Frisco, Texas.
Simon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Simon has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Simon Mark Beresford's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 1, 2018 - Present
CAPITAL ADVISORS, INC.
Office #1: 3001 Dallas Parkway Suite 550, Frisco, TX 75034February 27, 2018 - July 20, 2018
TD AMERITRADE, INC.
February 26, 2018 - July 20, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - July 20, 2018
TD AMERITRADE, INC.
June 14, 2016 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
June 2, 2008 - February 26, 2018
SCOTTRADE, INC.
Primary Firm SEC Registration
CAPITAL ADVISORS, INC.
CRD#: 104643 / SEC#: 801-14050
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(11/11/2022)
(8/1/2018)
Exams
Current Firm
CAPITAL ADVISORS, INC.
CRD#: 104643 / SEC#: 801-14050
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,297 |
| AUM (Assets Under Management) | $ 6,146,880,645 |
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.
Company Information
CAPITAL ADVISORS, INC.
CRD#: 104643Frisco, TX 75034TRUST BUT VERIFY
Monitor Simon Beresford
Get automatic monthly alerts on:
