Employment Information

What employment information do you require?

We require up-to-date employment information, including:

  • Employment Status
  • Employer
  • Occupation
  • Employment Address (your work address)

Tip: If a change in employment has altered your affiliation (or the affiliation of an immediate family member) with FINRA (Financial Industry Regulatory Authority), please send an email to our Customer Service team. Please include:

  • Your full name
  • Capital One Investing℠ account number
  • The contact information for your compliance officer

Why do you need to know my employment information?

To keep up with regulatory requirements, we are required to record your employment status. Also, if you're employed (or self employed) we must also collect your employer's name and address, as well as your occupation.

Tip: Any incorrect contact information may cause your Capital One Investing℠ Account to not get immediately approved for trading. If your employment status changes in the future, please update this information promptly.

What if my employment information changes?

If your employment status has changed, please follow these instructions to keep us up-to-date:

  1. Sign in at www.capitaloneinvesting.com
  2. Go to Accounts > Overview > Profile & Settings > Personal Info (Sign In required)
  3. Select Edit in the Employment section
  4. Enter or update your employment status and/or employer's information in the fields provided, then click Save

Updating your employment information will update the information for all your Capital One Investing℠ Accounts.

Tip: Incorrect contact information may result in your Capital One Investing Account being restricted from trading. If your employment information changes in the future, be sure to update this information promptly.

How can I tell if I am affiliated with a stock exchange or FINRA?

Generally speaking, most people aren't affiliated with a registered stock exchange or FINRA (Financial Industry Regulatory Authority). A good test to tell if you or your immediate household are affiliated is to check this list:

  • Associated with or employed by a firm or brokerage that is a member of FINRA
  • Employed by FINRA
  • Associated with or employed by a stock exchange

If any of the scenarios listed above apply to you or a member of your immediate household, we will require written approval from your compliance officer before approving your account for trading.

Tip: If you are still unsure about your affiliation status, please ask your employer's compliance or human resources department.

Control Persons

An investor who is a director or policy maker of a publicly traded company, or owns 10% or more of a publicly traded company’s stock, is considered a ‘control person’. If you or your immediate family members fall under this definition, additional documentation or restrictions may apply to the sale of securities in your account.

Who is considered to be a part of my "immediate household"?

For the purposes of determining affiliation with FINRA or a stock exchange:

  • A spouse is always considered part of your immediate household, even if they are not currently residing at the same address
  • Other members are determined by financial dependency
  • If you are the dependent of someone who meets the definition of affiliated, then you are also considered affiliated and must have their compliance officer send us a letter before we can approve the account for trading