Capital One Securities, Inc.

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: 

*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.