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Individual Firm
at
CAPITAL ONE SECURITIES, INC. (CRD# 44158 / SEC# 8-50561)
Firm registration as a brokerage firm and/or investment advisor firm
Brokerage Firm
Disclosures include customer complaints, regulatory actions and criminal convictions
5 Disclosure(s)
Registration history for the brokerage firm, including owners and officers and legal classification
This firm was formed in Louisiana on 04/01/2000.
This firm is classified as a Corporation.
Qualifications including state licenses for the brokerage firm and what kinds of business it conducts
This firm is registered with:
the SEC
2 Self-Regulatory Orgs
49 U.S. states and territories
Firm registration as a brokerage firm and/or investment advisor firm
Brokerage Firm
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities—stocks, bonds, mutual funds, and certain other investment products—on behalf of its customers (as broker), for its own account (as dealer), or both.
Individuals who work for broker-dealers—the sales personnel whom most people call brokers—are technically known as registered representatives.
Disclosures include customer complaints, regulatory actions and criminal convictions
This firm has disclosure events. See detailed report for more information.
Disclosure(s)
Regulatory Event
3
Civil Event
2
Registration history for the brokerage firm, including owners and officers and legal classification
This firm was formed in Louisiana on 04/01/2000. This firm is classified as a Corporation.
Main Office Location
201 ST. CHARLES AVENUE
SUITE 1830
NEW ORLEANS, LA  70170
Mailing Address
201 ST. CHARLES AVENUE
SUITE 1830
NEW ORLEANS, LA  70170
Business Telephone Number
504-528-9174
Its fiscal year ends in December.
Regulated by the FINRA New Orleans district office.
Direct Owners and Executive Officers
CAPITAL ONE FINANCIAL CORPORATION - 100% SHAREHOLDER
CONNER, PIERRE EUCLIDE III (CRD# 4076451) - PRESIDENT
DOUCE, MARK IVAN (CRD# 2959137) - CHIEF COMPLIANCE OFFICER
GIRLING, PHILIPPA XANTHE (CRD# 4704239) - DIRECTOR
HALPRIN, GABRIELLE BAILLEUX (CRD# 5087341) - CHIEF FINANCIAL OPERATIONS OFFICER (FINOP)
KUGLER, WILLIAM CHARLES (CRD# 4281904) - DIRECTOR
ROSEN, DANIEL HAROLD (CRD# 6465074) - DIRECTOR
STUART, ROBERT MORGAN JR. (CRD# 4935812) - DIRECTOR, HEAD OF MIDDLE MARKET BANKING
TULIP, STEVEN ANDREW - CHIEF EXECUTIVE OFFICER
Qualifications including state licenses for the brokerage firm and what kinds of business it conducts
Firm Operations:

This firm conducts 5 types of businesses.
This firm is affiliated with financial or investment institutions.
This firm has referral or financial arrangements with other brokers or dealers.
This firm is registered with:
the SEC
2 Self-Regulatory Orgs
49 U.S. states and territories
  • Alabama
  • Alaska
  • Arizona
  • Arkansas
  • California
  • Colorado
  • Connecticut
  • Delaware
  • District of Columbia
  • Florida
  • Georgia
  • Idaho
  • Illinois
  • Indiana
  • Iowa
  • Kansas
  • Kentucky
  • Louisiana
  • Maryland
  • Massachusetts
  • Michigan
  • Minnesota
  • Mississippi
  • Missouri
  • Montana
  • Nebraska
  • Nevada
  • New Hampshire
  • New Jersey
  • New Mexico
  • New York
  • North Carolina
  • North Dakota
  • Ohio
  • Oklahoma
  • Oregon
  • Pennsylvania
  • Rhode Island
  • South Carolina
  • South Dakota
  • Tennessee
  • Texas
  • Utah
  • Vermont
  • Virginia
  • Washington
  • West Virginia
  • Wisconsin
  • Wyoming
Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information.

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