CRD #44158 · FINRA BrokerCheck + SEC IAPD

Capital ONE Securities, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Capital ONE Securities, Inc. ranks #2,041 of 20,055 by disclosure count (most disclosures first). Among firms registered in LA, it ranks #3 of 8 on the same disclosure sort used on the state browse page. Capital ONE Securities, Inc. carries 3 BrokerCheck disclosures across 12 branch offices - moderate load for a regional firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
12
branch offices
3
disclosures
#2,041 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 44158 Capital ONE Securities, Inc.

Capital ONE Securities, Inc. · Grade C · 3 disc · 0.25/office · Regional firm

  • CRD 44158
  • GRADE C
  • DISC 3
  • REG 3
  • ARB 0
  • CIV 0
  • BRANCH 12
  • PER-OFF 0.25
  • RANK #2,041 of 20,055
  • BOOK Regional firm

Intensity peers

Nearest same-size peer: D.H. Hill Securities, LLLP (0.25 disc/office)

D.H. Hill Securities, LLLP0.25Lincoln Financial Distr…0.25Arlington Securities, Inc.0.27Capital ONE Securit… (this)0.25
Disclosures per office among regional firm peers (lower is cleaner)

Capital ONE Securities, Inc. ranks #2,041 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.25 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

12 offices

FINRA: Medium firm

Total disclosures

3 events

On FINRA BrokerCheck

Regulatory events

3 actions

100% of all disclosures

Disclosures per office

0.25 per office

3 ÷ 12 offices

Capital ONE Securities, Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 73% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). This entry sits in this band. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 3
Arbitrations 0
Civil Events 0
Total 3

Counts for Capital ONE Securities, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 3 Arbitration 0 Civil 0

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
New Orleans, LA
CRD Number
44158

Regulator-heavy mix

Capital ONE Securities, Inc. in the heavier-disclosure third

Capital ONE Securities, Inc. carries 3 BrokerCheck disclosures across 12 branch offices - a heavier-third raw book among graded firms (#2,041 of 20,055). Regulator-initiated events are 100% of the book (3 regulatory / 0 arbitration / 0 civil).

100% of Capital ONE Securities, Inc.'s 3 disclosures are regulator-initiated (3 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Capital ONE Securities, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Louisiana cohort · 1.26× state average

Capital ONE Securities, Inc. sits above the Louisiana disclosure average

Capital ONE Securities, Inc. reports 3 BrokerCheck disclosures, 1.26× the Louisiana average of 2.4 across 8 graded firms with a principal-office state on file.

In Louisiana, 3 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Louisiana state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Capital ONE Securities, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Capital ONE Securities, Inc. ranks #2,041 of 20,055 by disclosure count (most disclosures first). Among firms registered in LA, it ranks #3 of 8 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of C mean for Capital ONE Securities, Inc.?
A grade of C reflects Capital ONE Securities, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (regional firm). It carries 3 total disclosures across 12 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Capital ONE Securities, Inc. have?
Capital ONE Securities, Inc. has 3 total FINRA disclosures, including 3 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Capital ONE Securities, Inc.?
Capital ONE Securities, Inc. operates 12 branch offices and is classified by FINRA as a medium firm, registered in LA (Regional firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Capital ONE Securities, Inc.'s disciplinary record?
You can verify Capital ONE Securities, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 44158. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid Capital ONE Securities, Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Capital ONE Securities, Inc. carries 3 disclosures across 12 branch offices (about 0.25 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Capital ONE Securities, Inc., both outside LA so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.