Full text of CAPITAL ONE SECURITIES, INC.'s X-17A-5 filed 2026-02-06 (period 2025-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ {1}------------------------------------------------ | Gabrielle Halprin | | swear (or affirm) that, to the best of my knowledge and belief, the | | |-------------------------------------------------------------------------|-------|-----------------------------------------------------------------------------------|-------| | financial report pertaining to the firm of Capital One Securities, Inc. | | | as of | | December 31 | 7 025 | is true and correct. I further swear (or affirm) that neither the company nor any | | - - - - - - - - - - - - - - - - - - - - - - - - - - - {2}------------------------------------------------ (A Wholly Owned Subsidiary of Capital One Financial Corporation) F INANCIAL R EPORT Years Ended December 31, 2025 and 2024 With Report of Independent Registered Public Accounting Firm SEC ID 8 – 50561 Filed pursuant to Rule 17a-5(e)(3) 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 Condition<br>Notes to Financial Statements | 2<br>3 | {4}------------------------------------------------  # **REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM** To the Stockholder and Board of Directors of Capital One Securities, Inc. New Orleans, Louisiana #### **Opinion on the Financial Statements** We have audited the accompanying statements of financial condition of Capital One Securities, Inc. (the "Company"), as of December 31, 2025 and 2024, and the related notes (collectively referred to as the "financial statements"). In our opinion, the financial statements present fairly, in all material respects, the financial position of the Company as of December 31, 2025 and 2024 in conformity with accounting principles generally accepted in the United States of America. #### **Basis for Opinion** The financial statements are the responsibility of the Company's management. Our responsibility is to express an opinion on the Company's financial statements based on our audits. We are a public accounting firm registered with the Public Company Accounting Oversight Board (United States) ("PCAOB") and are required to be independent with respect to the Company in accordance wit…Read the full text as markdown