Full text of CAPITAL ONE SECURITIES, INC.'s X-17A-5 filed 2024-02-21 (period 2023-12-31). 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-S | | | 0MB APPROVAL | | |--------------------------|----| | 0MB Number: 3235-0123 | | | Expires: Nov. 30, 2026 | | | Estimated average burden | | | hours per response: | 12 | | SEC FILE NUMBER | |-----------------| |-----------------| 8-50561 • #### **FACING PAGE** **PART** Ill **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING | ---------<br>01/01/2023 | AND ENDING | ----------<br>12/31/2023 | | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------|-----------------------------------|--------------------------------------------|--| | | MM/DD/VY | | MM/DD/VY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: Capital One Securities, Inc. | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>0 Major security-based swap participant<br>O Security-based swap dealer<br>&r Broker-dealer<br>□ 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 | | | (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*<br>Keiter | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 4401 Dominion Blvd. | Glen Allen | VA | 23060 | | | (Address) | (City) | | (State)<br>(Zip Code) | | | 10/22/2003 | | 80 | | | | (Date of Re istration with PCAOB | | | PCAOB Re istration Number, if a<br>licable | | | | FOR OFFICIAL USE ONLY | | | | | * Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public<br>accountant must be supported by a statement of facts and circums…Read the full text as markdown