Structured Products

Footnotes

Learn more about FDIC insurance coverage.

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

Normal credit qualifications apply.

Swap Dealer - Disclosure of Material Information for Swaps

Check the background of this firm on NFA’s BASIC.

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.

Capital One Securities, Inc. specific disclosures:

Business Continuity Plans

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.

Specific disclosures for KippsDeSanto & Co. and TripleTree, LLC may be located on their websites.

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Providing advisory and capital-raising services for both banks and non-bank financial institutions.

Structured Products

Providing advisory and capital-raising services for both banks and non-bank financial institutions.

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