Privacy & Security

Business Continuity Disclosure

Business Continuity Plans and Emergency Contact Information

Rule 4370 (e) Business Continuity Plan

Capital One Investing, LLC maintains a business continuity plan according to FINRA Rule 4370. The plan describes how Capital One Investing, LLC would respond to any significant business disruptions.

Capital One Investing believes it has taken reasonable measures to minimize interruption of customer access to accounts during significant business disruptions. The business continuity plan provides detailed and tested procedures for dealing with major business disruption events such as natural disasters, power outages, severe weather, and pandemics. The plan is designed to maintain critical business functions such as processing client orders and providing access to account information.

Contacting Us

If you access your account(s)/assets through a financial advisor:

Capital One Investing does not maintain custody of or report to customers on their investments. Capital One Investing utilizes the services of third parties to perform these tasks. If there is a significant business disruption and you cannot contact us as usual at 800-248-3919 and your account is maintained by our clearing firm, Pershing LLC, you should contact Pershing at 201-413-3635 for instructions on how you can enter orders, access your funds and other account related information. If your account is held directly with a mutual fund or variable annuity company you should contact the company directly at the address and phone number that is on your statement.

If you access your account(s)/assets though http://www.capitaloneinvesting.com:

If after a significant business disruption you cannot contact us as you usually do via our web site, you should call us at 1-800-747-2537.

Our Business Continuity Plan

Our yearly enterprise-wide analysis and testing of financial and operational risks focuses primarily on the following:

  • Backup and recovery technologies for all business critical systems
  • Procedures for preemptive and reactive action to a major business disruption
  • Employee business continuity awareness training on stated procedures
  • Alternate customer communication allowing for timely updates of the outage event, how to contact us, and account support information
  • Remote access for mission critical staff to conduct business

The Capital One Investing infrastructure is hosted from secure and redundant data centers. The data centers provide redundant power, Internet connectivity, environmental controls, primary and standby data and application servers and robust physical and network security.

Our contingency and recovery plans are reviewed, exercised, and reported on quarterly to allow for changes in technology, procedures, regulations, and physical facilities. This notice will be updated as needed.

For More Information

  • If you have questions about our business continuity planning, you can contact Capital One Investing at: 1-800-747-2537
  • If you access your account(s)/assets through a financial advisor: 1-800-248-3919
  • If you access your account(s)/assets though http://www.capitaloneinvesting.com: 1-800-747-2537