Below you will find a link (click View the Current Statement) to the unaudited Statement of Financial Condition for Capital One Investing, LLC., (the "Company"), as of June 30, 2015. The Statement of Financial Condition is furnished to customers on a semi-annual basis in accordance with the requirements of the U.S. Securities and Exchange Commission (SEC).
The Company is a member in good standing of the Financial Industry Regulatory Authority (FINRA) and Securities Investor Protection Corporation (SIPC). Customer accounts are secured up to $500,000 (limited to $250,000 for cash) by SIPC.
A COPY OF THE COMPANY'S MOST RECENT COMPLETE AUDITED FINANCIAL STATEMENTS PURSUANT TO SEC RULE 17A-5, IS AVAILABLE FOR EXAMINATION AT THE COMPANY'S MAIN OFFICE IN SEATTLE, WASHINGTON AND AT THE SECURITIES AND EXCHANGE COMMISSION OFFICE IN SAN FRANCISCO, CALIFORNIA.
If you have any questions with regard to this Statement of Financial Condition or your account, please email our Customer Service team at firstname.lastname@example.org or call 1-800-747-2537 between the hours of 8 AM to 9 PM ET, Monday through Friday.
Banking services are provided by Capital One 360, a division of Capital One, N.A., member FDIC.
Securities products are offered by Capital One Investing, LLC, a registered broker-dealer and Member FINRA/SIPC. Advisory services are provided by Capital One Advisors, LLC, an SEC registered investment advisor. Insurance products are offered through Capital One Agency LLC. All are subsidiaries of Capital One Financial Corporation.
©2015 Capital One. Capital One and ShareBuilder are federally registered service marks. All third-party trademarks are the property of their respective owners.
Securities and services are: Not FDIC insured · Not bank guaranteed · May lose value · Not a deposit
· Not Insured by any Federal Government Agency