FIND A CAPITAL ONE SECURITIES, INC. FINANCIAL ADVISOR NEAR ME
Find, Compare and Monitor Financial Advisors at CAPITAL ONE SECURITIES, INC.
Looking for a Financial Advisor at CAPITAL ONE SECURITIES, INC.?
We have compiled every financial advisor who works at CAPITAL ONE SECURITIES, INC. in our database for you to search through. On this page, you will be able to find the closest financial advisors to you geographically, advisors with specific certifications that you are looking for, as well as many other filtering capabilities to help you search.
If you need additional assistance finding the specific financial advisor you are looking for, please use our search tool below and type in either their name or CRD number.
FIRM PROFILE
Overview
CAPITAL ONE SECURITIES, INC. is located at 201 St. Charles Avenue Suite 1830, New Orleans, LA 70170 and was first established at New Orleans, Louisiana in 04/01/2000. After operating for 26 years, CAPITAL ONE SECURITIES, INC. has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of CAPITAL ONE SECURITIES, INC.’s clients are individuals and 0% of their clients are high net worth individuals. CAPITAL ONE SECURITIES, INC. has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at CAPITAL ONE SECURITIES, INC. are registered to handle securities or provide financial advice. The firm has 3 disclosures, 3 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access CAPITAL ONE SECURITIES, INC.‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at CAPITAL ONE SECURITIES, INC.. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for CAPITAL ONE SECURITIES, INC. Comes From
Understanding the Statistics for CAPITAL ONE SECURITIES, INC. and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
No Information
No Information
FIRM INFORMATION
201 St. Charles Avenue Suite 1830, New Orleans, LA 70170
201 St. Charles Avenue Suite 1830, New Orleans, LA 70170
Medium
(504) 533-7377
Louisiana since 04/01/2000
Corporation
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | 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 |
The Importance of Understanding a Firm’s Role when Evaluating an Advisor
How Do I Determine Which Firm to Work With?
Advisor's working at CAPITAL ONE SECURITIES, INC.
Robert John Mulligan JR
Paul Louis Westra
George Patrick Revock
Compare statistics for financial advisors here.
Review financial advisor disclosures here.
