Full text of CAPITAL ONE SECURITIES, INC.'s X-17A-5 filed 2020-02-13 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** 0MB APPROVAL OMBNumber: 3235-0123 Expires: August 31, 2020 Estimated average burden hours oer resoonse .. 12.00 | SEC FILE NUMBER | |-----------------| | 8-50561 | **FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING 01/01/19 | | AND ENDING 12/31/19 | ----------- | | | | |----------------------------------------------------------------------------------------------|---------------------------------------------------------------------|---------------------|--------------------------------|--|--|--| | | MM/DD/YY | | MM/DD/YY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME OF BROKER-DEALER. Capital One Securities, Inc. | | | OFFICIAL USE ONLY | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS. (Do not use P.O. Box No.) | | FIRM I.D. NO. | | | | | | 201 St. Charles Ave., Suite 1830 | | | | | | | | | (No. and Street) | | | | | | | New Orleans | LA | | 70170 | | | | | (City) | (State) | | (Zip Code) | | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Gabrielle Halprin | | | (504)533-7377 | | | | | | | | (Area Code - Telephone Number) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | | Keiter | | | | | | | | | (Name - if mdzvidual, srate last, first, middle name) | | | | | | | 4401 Dominion Blvd. | Glen Allen | VA | 23060 | | | | | (Address) | (City) | (State) | (Ztp Code) | | | | | CHECK ONE: | | | | | | | | Iv"' jcertified Public Accountant | | | | | | | | Public Accountant | | | | | | | | B | Accountant not resident in United States or any of its possessions. | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption See Section 240.17a~5(e)(2)* > **Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control number.** {1}----------------------------------…Read the full text as markdown