Capital One Securities, Inc.
Firm details
- Headquarters
- New Orleans, Louisiana
- CRD number
- 44158
- Registered since
- February 4, 1998
- Website
- www.capitalone.com
Firm profile
FINTRXOverview
Capital One Securities, Inc. appears in the FINTRX dataset as a corporate entity operating in the investment banking space. The record shows the firm has been SEC-registered since 1998 and is owned by a combination of a domestic entity and an individual. The profile lists the organization as an investment bank rather than a traditional registered investment adviser or capital allocator. The snapshot flags several negative answers that shape how the firm likely engages with clients: it is not identified as a capital allocator, is not an active ESG investor, is not a multi-state adviser, and is not listed as a pension consultant or related adviser. FINTRX does not provide details on fee schedules, advisory programs, or a defined client base for this entity, suggesting its primary activities are non-advisory or broker-dealer style capital markets work rather than asset management for retail wealth clients.
Assets & Accounts
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Owners & executives
3 of 3
Robert Mulligan
Chief Compliance OfficerCRD 1584973

Gabrielle Halprin
Chief Financial OfficeCRD 5087341

Jennifer Blevins
Accounting CoordinatorCRD 6057862
Contacts
3 of 161Andrew Sullivan
Registered RepresentativeCRD 6962571

Wade Suki
Co-Founder & Managing PartnerCRD 2653755
Douglas Becker
Equity Research AnalystCRD 2377919
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXLocation
New Orleans, LA
Orleans
Location
New Orleans, LA
Headquartered in New Orleans, LA, anchoring the New Orleans-Metairie-Hammond, LA-MS metro in the South.
- Metro area
- New Orleans-Metairie-Hammond, LA-MS
- Region
- South
- County
- Orleans
- Address
- 201 Saint Charles Ave
- Time zone
- CT (UTC-6)
- Office locations
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