President And Head Of Sales, Research And Trading
Capital One Securities, Inc.
Capital One Securities (COS) is a wholly owned broker dealer subsidiary of Capital One Financial Corp. Capital One Securities has institutional equity sales, research and trading offices in Dallas, Houston, New Orleans, New York, Philadelphia and McLean Virginia, covering primarily energy and real estate. COS covers both domestic and international institutional investors. In this role, oversaw operations of broker-dealer and all aspects of organization’s sales, research, and trading efforts. Fully integrated independent broker dealer into commercial bank; operations, HR, compensation redesign, IT, compliance, and risk management verticals. Ultimately responsible for all aspects of sustainable and compliant operations of the broker-dealer. Had all P&L responsibility of Sales, Research, and Trading and interfaced with commercial and investment bankers to provide additional equity capital solutions for commercial bank clients as well.