Full text of CAPITAL ONE SECURITIES, INC.'s X-17A-5 filed 2023-02-16 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # ANNUAL REPORTS FORM X-17A-5 # PART III sec file number OMB APPROVAL OMB Number: 3235-0123 Estimated average burden hours per response: 12 Expires: Oct. 31, 2023 8-50561 FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING 01/01/2022 AND ENDING MM/DD/YY MM/DD/YY 12/31/22 A. REGISTRANT IDENTIFICATION NAME OF FIRM: Capital One Securities, Inc. TYPE OF REGISTRANT (check all applicable boxes): @ Broker-dealer □ Check here if respondent is also an OTC derivatives dealer [ Security-based swap dealer ] Major security-based swap participant 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 | A | 70170 | | (City) | (State) | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | Gabrielle Halprin | 504-533-7377 | gabrielle. halprin@capitalone.com | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | Keiter | | | | | | | | | It instituded stage may in on the illusion intelling | | | | | | |--------------------------------------------------|------------------------------------------------------|--|--------------------------------------------|------------|--|--| | 4401 Dominion Blvd. | Glen Allen | | VA | 23060 | | | | (Address) | (City) | | (State) | (Zip Code) | | | | 10/22/2003 | | | 80 | | | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | \* Claims for exemption from the requirement that the annual reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(ii), if applicable. 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 OMB control number. {1}-----------------…Read the full text as markdown