Charles D. Werner

CAPITAL ONE SECURITIES

Mclean, VA 22102

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CRD#: 6952949

Professional summary

Charles Donald Werner IV, who also goes by Chip Werner, is a registered financial professional currently at CAPITAL ONE SECURITIES, INC. located in Mclean, Virginia.

Charles is registered as a RR (Registered Representative) and started their career in finance in 2018. Charles has worked at 1 firm and has passed the Series 63, SIE and Series 79 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Chip Werner

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 Charles Donald Werner IV'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

February 7, 2023 - Present

CAPITAL ONE SECURITIES, INC.

Office #1: 1680 Capital One Drive, Mclean, VA 22102

CRD#: 44158

Mclean, VA

Past

June 26, 2018 - September 16, 2021

CAPITAL ONE SECURITIES, INC.

CRD#: 44158

HOUSTON, TX

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
(2/7/2023)

Connecticut
(2/7/2023)

Florida
(2/7/2023)

Illinois
(2/7/2023)

Louisiana
(2/7/2023)

Maryland
(2/7/2023)

Massachusetts
(2/7/2023)

New York
(2/7/2023)

Pennsylvania
(2/7/2023)

Texas
(2/7/2023)

Virginia
(2/7/2023)

Exams

State Security Law Exam

Series 63

Date: 7/9/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 6/26/2018

Investment Banking Registered Representative Examination

SRO Registrations

FINRA

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

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

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Charles D. Werner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles Donald Werner IV's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITAL ONE SECURITIES, INC.

CAPITAL ONE SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/9/2018

SIE

Date: 10/1/2018

Series 79

Date: 6/26/2018

FINRA

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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