Full text of CAPITAL ONE SECURITIES, INC.'s X-17A-5 filed 2021-02-24 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | AND ENDING 12/31/20<br>REPORT FOR THE PERIOD BEGINNING 01/01/20 | | | |---------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------|---------|--------------------------------| | | 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 | IA | | 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*<br>Keiter | (Name - if individual, state last, first, middle name) | | | | 4401 Dominion Blvd. | Glen Allen | VA | 23060 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE:<br>Certified Public Accountant<br>Public Accountant<br>Accountant not resident in United States or any of its possessions. | FOR OFFICIAL USE ONLY | | | | | | | | {1}------------------------------------------------ - - - - - - - - - - - - - - {2}------------------------------------------------ (A Wholly Owned Subsidiary of Capital One Financial Corporation) F INANCIAL R EPORT # Years Ended December 31, 2020 and 2019 With Report of Independent Registered Public Accounting Firm #### SEC ID 8 – 50561 This report is deemed CONFIDENTIAL in accordance with Rule 17a-5(e)(3) under the Securities Exchange Act of 1934. A Statement of Financial Condition bound separately has been filed with the Securities and Exchange Commission simultaneously herewith as a PUBLIC DOCUMENT. {3}------------------------------------------------ (A Wholly Owned Subsidiary of Capital One Financial Corporation) ## **Table of Contents** Page | Report of Independent Registered Public Accounting Firm | 1 | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------| | Financial Statements: | | | Statements of Financial Conditi…Read the full text as markdown