Full text of CAPITAL ONE SECURITIES, INC.'s X-17A-5 filed 2025-02-14 (period 2024-12-31). 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** 0MB APPROVAL 0MB Number 3235-0123 Expires Nov 30, 2026 Estimated average burden hours per response 12 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | SEC FILE NUMBER | |-----------------| | 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 | __<br>___<br>0_1_/0_1_/2_4 | AND ENDING | __<br>___<br>1_2/_3_1_/2_4 | | | | |---------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------|-------------------------------------------|----------------------------------|--|--|--| | | MM/DD/VY | | MM/DD/VY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME OF FIRM: --=C-=a=p-'--=it=a.,_I O=-'--'n=e---'S=-e=-c=u=r--'-'it"-'ie=--=sc,,-'-'ln'--'-c=·------------- | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>[!] Broker-dealer<br>□ Check here 1f respondent Is also an OTC derivatives dealer | □ Security-based swap dealer | □ MaJor security-based swap part1c1pant | | | | | | 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 f1lmg* | | | | | | | | Keiter | | | | | | | | | (Name - 1f md1v1dual, state last, first, and middle name) | | | | | | | 4401 Dominion Blvd. | Glen Allen | VA | 23060 | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | 10/22/2003 | | 80 | I | | | | | l''<br>of Rego,t,at,oo w,th PCAOB)l,f apphcable) | | (PCAOB Rego,tcat,oo N,mbec, ,t apphcable) | | | | | | | FOR OFFICIAL USE ONLY | | | | | | \* Claims for exemption from the requirement that the annual reports be covered by the 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-S…Read the full text as markdown