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Kristin Brown-anastasio

CAPITAL ONE SECURITIES
Jericho, NY 11753
CRD#: 4843845
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KB
Kristin Brown-anastasioCAPITAL ONE SECURITIES

Professional summary

Kristin Brown-anastasio, who also goes by Kristin L. Brown, Kristin Brownanastasio, is a registered financial professional currently at CAPITAL ONE SECURITIES, INC. located in Jericho, New York.

Kristin is registered as a RR (Registered Representative) and started their career in finance in 2004. Kristin has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 exams.

Aliases

Kristin L. Brown | Kristin Brownanastasio

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kristin Brown-anastasio's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

June 26, 2026 - Present

CAPITAL ONE SECURITIES, INC.

Office #1: 300 Jericho Quadrangle, Jericho, NY 11753
BD
CRD#: 44158
Jericho, NY
Past

January 2, 2015 - June 11, 2019

CAPITAL ONE INVESTING, LLC

BD
CRD#: 45744
MELVILLE, NY
Past

June 21, 2012 - January 2, 2015

CAPITAL ONE INVESTMENT SERVICES LLC

BD
CRD#: 25658
MELVILLE, NY
Past

December 1, 2005 - June 6, 2012

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
WOODBURY, NY
Past

March 18, 2005 - December 20, 2005

ADVEST, INC.

BD
CRD#: 10
HARTFORD, CT
Past

September 24, 2004 - March 9, 2005

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/16/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/23/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/28/2013
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/12/2007
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 9/29/2006
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

CO
CAPITAL ONE SECURITIES, INC.
CAPITAL ONE SECURITIES, INC. | SOUTHCOAST CAPITAL L.L.C. | HIBERNIA SOUTHCOAST CAPITAL, INC. | CAPITAL ONE SOUTHCOAST, INC | CAPITAL ONE SOUTHCOAST

CRD#: 44158 / SEC#: , 8-50561

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
201 St. Charles Avenue Suite 1830, New Orleans, LA 70170
Mailing Address
201 St. Charles Avenue Suite 1830, New Orleans, LA 70170
Phone number
(504) 533-7377
Established
Louisiana since 04/01/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (12 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
CAPITAL ONE FINANCIAL CORPORATION100% SHAREHOLDER
GIBNEY, JOSEPH DONOUGHDIRECTOR3117394
HALPRIN, GABRIELLE BAILLEUXCHIEF FINANCIAL OPERATIONS OFFICER (FINOP)5087341
JOHNSON, RUSSELL ALANDIRECTOR2785704
KUCERA, DAVID JOHNDIRECTOR2598213
MULLIGAN, ROBERTCHIEF COMPLIANCE OFFICER1584973
NAKAMURA, SEIJI PETERDIRECTOR2561992
PORPHY, JEFFREY RDIRECTOR4107535
TULIP, STEVEN ANDREWPRESIDENT AND DIRECTOR2540149

Disclosures

Regulatory Event3

Red Flags

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Company Information

CAPITAL ONE SECURITIES, INC.

CRD#: 44158Jericho, NY 11753

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