Legal Name

Why do you need my full legal name?

In short, it's required. Securities regulatory authorities and the IRS require that all brokerage firms record the full legal name of account holders. An account cannot be opened without this information. In addition, errors in this field may prevent your account from being approved for trading, so don't enter your nickname or alter-ego.

If you are opening a joint, custodial, or ESA account, you will also need to enter the full legal name of the secondary owner, child or beneficiary (respectively) of the account.

Fact: Capital One Investing, LLC restricts access to personal customer information to employees and service providers that have legitimate business purposes to assist or provide services to you. Capital One Investing, LLC does not sell customer contact or account information. For more details, please refer to our Privacy Policy.

Can I correct errors in my name, date of birth or Social Security number?

If you find an error in your name, date of birth or Social Security number once your ShareBuilder Account has been opened, we would be happy to help you correct it. To do so, you may be required to send in certain forms or a letter of instruction.

Tip: Any errors or typos regarding your personal information may prevent your account from being approved for trading right away. It's really important to verify (and double check) all your information before completing the ShareBuilder Account application.

For specific instructions on correcting errors, please follow the links below:

How can I correct a spelling error in my name?

If you find an error in the spelling of your name, it’s important to correct it so the IRS can properly identify your account for tax reporting. The name on your ShareBuilder account needs to match your name as it appears on your Social Security card. Here’s how to correct your name:

Fax or mail the documents to:

1-866-996-6417 (toll-free) or 206-805-0791

Capital One Investing, LLC
PO Box 4249
Seattle, WA 98194-0249

Fax Tips: To ensure that your document will be legible after faxing, please consider the following suggestions:

  • If you are faxing a document with a colored background, try making a lighter copy first and then send.
  • If your document has very faint print, darken a copy before faxing.
  • If the document has very small print, try making an enlarged copy before faxing.
  • Use blue or black ink – red and green ink do not fax well. If the original document includes red or green ink, fax a copy instead.

If my name has legally changed, how do I update my ShareBuilder account?

If your name has legally changed due to a recent marriage, divorce or another reason, it’s important to update that with us so the IRS can properly identify your account for tax reporting reasons. The name on your ShareBuilder account needs to match your name as it appears on your Social Security card. Here’s how to change your name:

Fax or mail the documents to:

1-866-996-6417 (toll-free) or 206-805-0791

Capital One Investing, LLC
PO Box 4249
Seattle, WA 98194-0249

Fax Tips: To ensure that your document will be legible after faxing, please consider the following suggestions:

  • If you are faxing a document with a colored background, try making a lighter copy first and then send.
  • If your document has very faint print, darken a copy before faxing.
  • If the document has very small print, try making an enlarged copy before faxing.
  • Use blue or black ink – red and green ink do not fax well. If the original document includes red or green ink, fax a copy instead.