Capital One Securities

About Us

Build relationships with a team of industry experts. Capital One Securities, Inc. is a broker
dealer providing investment banking, equity research and institutional sales. We also offer
equity trading services on an agency basis for institutional investors, distribution of
at-the-market offerings and corporate stock buyback capabilities.

Since being acquired by Capital One® in 2005, we have participated in more than $500 billion in capital markets transactions. Our Energy and Real Estate Investment Trusts (REIT) investment banking professionals bring decades of combined industry experience to clients across the country.

Backed by a top-tier institutional sales team, we also have extensive experience in equity
research. Our research coverage includes approximately 120 exploration and production
oilfield services and midstream energy companies, as well as team coverage on more than
30 REITs across 6 asset classes.

Corporate Access - Energy and Real Estate

Non-Deal Roadshows
Multi-day trips to North American and European investment centers to meet with our buy-side customers with a heavy focus on long-only investment managers.

Reverse Non-Deal Roadshows
Small groups of investors meet with  management in their offices.

Field Trips & Site Visits
Specialized trips to strategic locations, typically includes meeting with multiple management teams.

Phone & In-Person Communication
Customized conferences and conference calls with investors and management teams.

Annual Energy Conference

Entering its 12th year, the Capital One Securities Annual Energy Conference is one of the
leading energy investment conferences in the industry. It is held each December in New
Orleans.

2016 Annual Energy Conference Overview

  • 682 one-on-one investor meetings
  • 72 accounts with more than 112 investors
  • 58 companies with 129 members of management teams
  • 14 company-hosted dinners with 111 investors

For more details, please contact your Capital One Securities Sales Representative or call
1-800-666-9174.

Steve Tulip

Steve Tulip
CEO of Capital One Securities, Head of Capital Markets

Steve is the CEO of Capital One Securities. In this role, he manages the sales, trading and research platform under Capital One Securities and leads the investment banking division of Capital One Securities.

Sam Baruch

Sam Baruch
Head of Debt Capital Markets

Sam leads the debt capital markets product offering. In this role, he works with clients to identify and originate debt capital markets solutions.

Pierre Conner

Pierre Conner
President of Capital One Securities, Head of Equity Sales, Research and Trading

Pierre leads the equity sales, research and trading businesses that specialize in the energy and real estate sectors.

Russ Johnson

Russ Johnson
Head of Energy Investment Banking

Russ leads the energy business with Bob Mertensotto. In this role, he leads the energy business’ investment banking solutions, providing equity and debt capital markets solutions as well as advisory services for oil and natural gas clients.

Bob Mertensotto

Bob Mertensotto
Head of Energy Debt Capital Markets

Bob leads Energy Debt Capital Markets. In this role, he leads the energy business’ debt investment banking solutions for oil and natural gas clients.

Greg Steele

Greg Steele
Head of REIT Investment Banking

Greg leads the REIT investment banking business. In this role, he provides solutions for commercial real estate clients across multiple sub-sectors with investment banking expertise, focusing on equity and debt capital markets solutions.

Phillip Winiecki
Head of Equity Capital Markets

Phil leads the equity capital markets product offering. In this role, he works with clients to identify and originate equity capital markets solutions.

Securities and Investment Banking 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 FDIC Insured

Not Bank Guaranteed

May Lose Value

Not a Deposit

Not Insured By Any Federal Government Agency

Business Continuity Plans

*Banking products and services are offered by Capital One, N.A., Member FDIC.

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.

IMPORTANT INFORMATION ABOUT PROCEDURES FOR OPENING A NEW ACCOUNT - To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account. What this means for you: When you open an account, we will ask for your name, address, date of birth, and other information that will allow us to identify you. We may also ask to see your driver’s license or other identifying documents.

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.