Capital One Securities

About Capital One Securities

Capital One Securities, Inc. is a broker dealer providing investment banking, equity research, institutional sales, and equity trading.  Founded in 1990 as the energy boutique Southcoast Capital, bought by Hibernia National Bank and finally acquired by Capital One in 2005, we have serviced more than $100B in capital markets transactions, with typical transactions ranging across underwriting equity and bond offerings, raising private equity, M&A advisory, and rendering fairness opinions.

In the past year, our investment banking team has been involved in approximately $60 billion in capital markets transactions.  Our energy banking professionals bring over 200 years of combined industry experience and commitment to building deep relationships with clients across the country.

In addition to national recognition as a top tier institutional sales team, we also have extensive experience in equity research, offering research coverage on approximately 100 Energy E&P and oilfield service companies, as well as Real Estate.

Capital One Securities Annual Energy Conference, one of the leading energy investment conferences in the industry, is entering its eighth year. The conference is held in New Orleans in December.

Securities products and services are offered through Capital One Securities, Inc., a non-bank affiliate of Capital One, N.A., a wholly-owned subsidiary of Capital One Financial Corporation and a member of FINRA and SIPC. The products and services offered or recommended are: Not insured by the FDIC; Not bank guaranteed; Not a deposit or obligation of Capital One; May lose value. ©2017 Capital One. Capital One is a federally-registered service mark. All rights reserved.

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Capital One Securities, Inc. is registered to conduct business in each state and the District of Columbia except Hawaii, Maine, and North Dakota. The information contained on the site is not intended for distribution to, or use by, any person or entity in any jurisdiction or country where such distribution or use may be contrary to law or regulation or which may subject us or our affiliates to any registration requirement within such jurisdiction or country.

Notice of Identity Verification: Federal law requires Capital One Securities, Inc. to obtain, verify, and record information that identifies each person who opens a new account. Account owners are asked to provide their name, address, and other identifying information that Capital One Securities, Inc. can use to accurately verify their identity.

Rule 606 of SEC Regulation NMS requires every broker or dealer to make publicly available for each calendar quarter a report on its routing of non-directed orders in certain securities. In compliance with Rule 606, Capital One Securities, Inc. data is available for public review via The Transaction Auditing Group, Inc.'s website.

Check the background of this firm on FINRA’s BrokerCheck.