Sara Andres serves as Chief Compliance Officer of Capital One Investing and Capital One Advisors LLC. Sara joined the firm in August of 2013 and brings over 15 years of experience in the financial services industry having previously served as CCO at TD Ameritrade and most recently serving on the senior leadership team at Ameritas Investment Corp.
As CCO, Sara oversees the compliance functions of Capital One Investing as well as acts as the primary advisor regarding the firm's overall compliance scheme and the particularized rules, policies and procedures the firm uses to oversee its business activities. Sara has been active in the industry serving on various Securities Industry and Financial Markets Association (SIFMA) and Financial Industry Regulatory Authority, Inc. (FINRA) committees. Sara has served on the advisory boards of both the University of Nebraska College of Business and MBA program. She also served as a board member for the Omaha Area Youth Orchestra.
Sara completed the FINRA Institute at Wharton and as such is a designated Certified Regulatory and Compliance Professional. She holds multiple securities licenses and is a graduate of the University of Nebraska–Lincoln.
Yvette S. Butler
President, Capital One Investing
Yvette Butler is the President of Capital One Investing, Capital One’s premiere full-service investing business comprised of financial advisory and self-directed online services. She is responsible for setting the strategy for the business, driving sales and maintaining a well-managed organization.
Previously, Yvette served as President of Capital One Investment Services (also known as Capital One Financial Advisors). Before joining Capital One, she led the direct business at Wells Fargo Advisors (WFA), including WFA Solutions and WellsTrade. Prior to joining Wells Fargo Advisors in 2007, she served as the Head of Investor Marketing at E*TRADE, focusing on expanding the brand to a broader retail investor market. She also held leadership positions on Merrill Lynch’s Retirement Group and Customer Development teams, where she helped create a new business channel targeting the “next generation” investor, now known as MerrillEdge.
Yvette holds her FINRA Series 7, 9, 10, 66 and 24 licenses and is a Certified Financial Planner. Ms. Butler earned her Bachelor of Science in Finance & Management Information Systems from University of Virginia and her Masters in Business Administration from the Stanford Graduate School of Business.
Managing Vice President and Head of Investing Products, Capital One Investing
Garrett Silver, CFA, is managing vice president and head of investing products for Capital One Investing. In this position, he is responsible for leading an integrated Marketing & Analysis and Product Investing team as well as the 401K business. Garrett oversees Marketing, Business and Data Analytics, Customer Research, Capital One Investing Brand Strategy, and Product Development.
Garrett came to Capital One Investing, formerly ShareBuilder, in a consulting role in 1999 and joined the company in 2004 as an IT and Data professional, subsequently contributing to Capital One Investing’s strategy as the Divisional CIO. His early career included product design, database design, application architecture, and software development in the Apparel and Debt Collection industries.
Garrett received his B.A. from Western Washington University and holds Series 7 and 24 FINRA licenses. He achieved the Chartered Financial Analyst (CFA) designation in 2010.
Erik Erichsen is the Head of Brokerage IT for Capital One Investing. He is responsible for the development and implementation of brokerage platforms and applications. He oversees Development, Application Architecture, Quality Assurance, and Program and Project Management, and coordinates Infrastructure and Operations.
Erik began working with Capital One Investing in late 1998 as a Developer during the creation of the Capital One Investing platform. During his tenure he has led a variety of technology teams and created the Business System Analysis, Application Architecture, and DevServices (DevOps) teams. Prior to his time at Capital One Investing, Erik created training software for a Department of Energy contractor used by over 14,000 employees/year.
Erik received a B.S. degree from Western Washington University and a M.S. degree from Illinois State University. He also holds a Series 99 FINRA license.
Matt serves as Controller of Capital One Investing and its parent Capital One Financial Corporation. He is responsible for managing the company's accounting and financial reporting. Matt has more than 19 years of experience in accounting and finance.
Before joining the company in 2009, Matt held various accounting and finance positions. Most recently he was CFO of Cyrk, a promotional products company, and prior to that Treasurer at Cascade Natural Gas, a utility company. Matt spent the first five years of his career working at Price Waterhouse.
Matt holds a BA in Economics from Brigham Young University and an MBA from Texas A & M University. He is also a CPA.
Broker Dealer Operations &
As Vice President of Broker Dealer Operations, Bob oversees all aspects of Capital One Investing’s brokerage operations including: Trading, Corporate Actions, Funding, Reconciliation and Financial Reporting to FINRA. Bob has 13 years of experience in the financial services industry. Since joining Capital One Investing in early 2000, Bob has played a pivotal role in building a robust operating model that supports Capital One Investing products and customers in the digital marketplace. Bob also oversees the Capital One Investing Customer Service Department.
Prior to his career at Capital One Investing, Bob worked as a credit manager for Norwest Financial, which was acquired by Wells Fargo Financial in 1998. Bob is a graduate of the University of Montana where he received a B.A. in Business Administration (emphasis in Finance) and Economics. He holds FINRA licenses series 4, 7, 24, 27, 55, 63, 65 as well as the Chartered Financial Analyst (CFA) designation.