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 in the Energy and REIT sectors. Our coverage includes the exploration and production, oilfield services, midstream sub-sectors of Energy, and the retail, net lease, healthcare, lodging, multi-family, industrial, and storage sub-sectors of REIT.

Contact Us
Sales, Research and Trading
201 St Charles Street, Suite 1830
New Orleans, LA 70170

8020 Towers Crescent Drive, Suite 554
Vienna, VA 22182

5444 Westheimer Road, Suite 5200
Houston, TX 77056

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.

Joe Gibney

Joe Gibney
Head of Equity Sales, Research and Trading

Joe leads the equity sales, research and trading businesses. In this role, he leads the group’s efforts engaging with institutional clients and cooperates across multiple sub-sectors in energy and real estate.

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 IHS Markit's website.

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