Banking products and services are offered by Capital One, N.A.  Member FDIC.  Learn more about FDIC insurance coverage.

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) 
  • KippsDeSanto & Co. and TripleTree, LLC (non-bank subsidiaries of Capital One, N.A)
    • 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

Members of FINRA and SIPC

Check the background of these firms on FINRA’s BrokerCheck.

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KippsDeSanto & Co. specific disclosures

TripleTree, LLC specific disclosures

Capital One Securities, Inc. specific disclosures:

Business Continuity Plan

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.

Research Disclosures: 

The information contained within research reports are based on sources which we believe to be reliable but are not guaranteed by us and are not considered to be all inclusive. It is not to be construed as an offer or the solicitation of an offer to sell or buy the securities herein mentioned. The firm and/or its individual shareholders and/or members of their families may have a position in the securities mentioned and, before or after your receipt of this report, may make or recommend purchases and/or sales for their own accounts or for the accounts of other customers of the firm from time to time in the open market or otherwise. Opinions expressed are our present opinions only and are subject to change without notice. Any mention of securities products or services is intended for institutional use only. Any opinions expressed in this any communications are those of the sender, and may or may not be in agreement with recommendations issued by the research analyst responsible for coverage.

Other Important Research Disclosures