Full text of CAPITAL ONE SECURITIES, INC.'s X-17A-5 filed 2022-02-23 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURmES AND EXCHANGE COMMISSION Washington, D.C. 20549 | ANNUAL REPORTS | |----------------| | FORM X-17A-S | | PART Ill | | 0"8 AP•R=•At | | |------------------------|--| | OMS Number. 3235-0123 | | | Expires: Oct. 31. 2023 | | | £\$:tlm~ted ~~ burden | | | hours per response: 12 | | | | | SEC ALE NUMBER | | |-----------------------------------------------------------------------------------------------------------|---------------------------------------|----------------------|----------------------------------| | FORM X-17A-S | | 8-50561 | | | | PART Ill | | | | | FACING PAGE | | | | Information Required Pursuant to Rules 17a-5, 17a-U, and llla-7 under the Securities Elcchange Ad of 1934 | | | | | FILING FOR THE PERIOD BEGINNING | __<br>___<br>ol_/_0l/_<br>_202_<br>_1 | AND ENDING _;1;;:2.: | /3;;:1.: /2.:.;0_2_1 _<br>_<br>_ | | | MM/00/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM:<br>capital One Securities, Inc. | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer D Security-based swap dealer D Major security-based swap part.icipant **D Check here if respondent is also an OTC derivatives dealer** ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 201 St. Charles Ave., Suite 1830 | | (No. and Street) | | | |----------------------------------------------|---------------------------------------------------------------------------|----------------------------------|------------| | New Orleans | LA | 70170 | | | (Oty) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Gabrielle Halprin | (504)533-7377 | gabrielle.halprin@capitafone.com | | | (Name) | (Area Code -Telephone Numb<!r) | (Email Address) | | | | 8. ACCOUNTANT IDENTIFICATION | | | | Keiter | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing• | | | | | (Name -II lndlvldual. stite last. first, and middle name) | | | | 4401 Dominion Blvd. | Glen Allen | VA | 23060 | | (Address) | (City) | (State) | (Zip Code) | | 10/22/2003 | | 80 | | (Oate of Re"'~ration with PCAOQih/ •••licablcl **FOR OFFICIAL USE ONLY** • **da1ms for exemption from the r-equirement that the. annual reports be covered bv the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the ba\$is of the exemption. See 17** CfR 240.17a-5(e)(ll(ii). If applicable. PeNOM who are to ,...,.…Read the full text as markdown