Emily Simonton

CAPITAL ONE SECURITIES

New York, NY 10171

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CRD#: 6593561

Professional summary

Emily Simonton, who also goes by Emily Clare Simonton, Emily Clark Simonton, is a registered financial professional currently at CAPITAL ONE SECURITIES, INC. located in New York, New York.

Emily is registered as a RR (Registered Representative) and started their career in finance in 2016. Emily has worked at 3 firms and has passed the Series 63, Series 7TO, SIE and Series 79 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Emily Clare Simonton | Emily Clark Simonton

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 Emily Simonton'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

July 4, 2025 - Present

CAPITAL ONE SECURITIES, INC.

Office #1: 299 Park Avenue 28th Floor, New York, NY 10171

CRD#: 44158

New York, NY

Past

May 13, 2023 - June 26, 2023

ASANTE CAPITAL GROUP ADVISORS LLC

CRD#: 155178

New York, NY

Past

August 15, 2016 - July 27, 2018

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

State Registrations and Notice Filings

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

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

California
(7/7/2025)

Connecticut
(7/10/2025)

Florida
(7/7/2025)

Illinois
(7/11/2025)

Louisiana
(7/10/2025)

Maryland
(7/11/2025)

Massachusetts
(7/7/2025)

New York
(7/9/2025)

Pennsylvania
(7/9/2025)

Texas
(7/10/2025)

Virginia
(7/21/2025)

Exams

State Security Law Exam

Series 63

Date: 8/12/2022

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/4/2025

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 5/13/2023

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 8/15/2016

Investment Banking Registered Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

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

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

Name	Position	CRD#
CAPITAL ONE FINANCIAL CORPORATION	100% SHAREHOLDER
GIBNEY, JOSEPH DONOUGH	DIRECTOR	3117394
HALPRIN, GABRIELLE BAILLEUX	CHIEF FINANCIAL OPERATIONS OFFICER (FINOP)	5087341
JOHNSON, RUSSELL ALAN	DIRECTOR	2785704
KUCERA, DAVID JOHN	DIRECTOR	2598213
MULLIGAN, ROBERT	CHIEF COMPLIANCE OFFICER	1584973
NAKAMURA, SEIJI PETER	DIRECTOR	2561992
PORPHY, JEFFREY R	DIRECTOR	4107535
TULIP, STEVEN ANDREW	PRESIDENT AND DIRECTOR	2540149

Disclosures

Regulatory Event

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.

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Emily Simonton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Emily Simonton's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASANTE CAPITAL GROUP ADVISORS LLC

COWEN AND COMPANY

State Registrations and Notice Filings

Exams

Series 63

Date: 8/12/2022

Series 7TO

Date: 7/4/2025

SIE

Date: 5/13/2023

Series 79

Date: 8/15/2016

FINRA

Nasdaq Stock Market

Current Firm

CAPITAL ONE SECURITIES, INC.

Contact information

FINRA licenses (12 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CAPITAL ONE SECURITIES, INC.

TRUST BUT VERIFY

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