AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
AC

Ashley R. Cuttitta

CAPITAL ONE SECURITIES
Chicago, IL 60601
Some features on this profile are disabled
CRD#: 6305246
AC

Professional summary

Ashley Rae Cuttitta, who also goes by Ashley Wilson Cuttitta, Ashley Rae Wilson, Ashley Wilson, is a registered financial professional currently at CAPITAL ONE SECURITIES, INC. located in Chicago, Illinois.

Ashley is registered as a RR (Registered Representative) and started their career in finance in 2014. Ashley has worked at 4 firms and has passed the Series 63, SIE, Series 82 and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ashley Wilson Cuttitta | Ashley Rae Wilson | Ashley Wilson

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 Ashley Rae Cuttitta'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

January 22, 2020 - Present

CAPITAL ONE SECURITIES, INC.

Office #1: 77 West Wacker Drive 10th Floor, Chicago, IL, 60601
BD
CRD#: 44158
Chicago, IL
Past

December 21, 2018 - May 2, 2019

CITIZENS CAPITAL MARKETS

BD
CRD#: 277073
CHICAGO, IL
Past

May 1, 2017 - May 21, 2018

KPMG CORPORATE FINANCE LLC

BD
CRD#: 103973
CHICAGO, IL
Past

March 18, 2014 - April 7, 2017

TRUIST SECURITIES, INC.

BD
CRD#: 6271
CHICAGO, IL

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(1/11/2023)
RR
Connecticut
(1/22/2020)
RR
Florida
(1/22/2020)
RR
Illinois
(1/22/2020)
RR
Louisiana
(1/22/2020)
RR
Maryland
(1/22/2020)
RR
Massachusetts
(1/22/2020)
RR
New York
(1/22/2020)
RR
Pennsylvania
(1/22/2020)
RR
Texas
(1/22/2020)
RR
Virginia
(1/22/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 6/9/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/21/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 82
Date: 11/30/2017
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 79
Date: 3/18/2014
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CAPITAL ONE SECURITIES, INC.

CRD#: 44158Chicago, IL 60601

TRUST BUT VERIFY

Monitor Ashley Cuttitta

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Michael Walter Basile
Michael BasileAdvisorCheck Check Mark
COUNTRY CAPITAL MANAGEMENT COMPANY
RR
Chicago, IL
LP
Louis PasterAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Chicago, IL
JV
Jaime VillalobosAdvisorCheck Check Mark
WILLIAM BLAIR
IAR
RR
Chicago, IL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.