Who we are.
Dedicated to bringing our registered representatives, advisors and their clients comprehensive financial planning strategies along with investment advisory and brokerage services.
About our company
corecap investments
(collectively, "Corecap")
corecap advisors
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1996
Windsor, Sheffield & Co ("WSC") is established as a Broker-Dealer
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2011
Convergence Financial Advisors is established as a Registered Investment Advisor firm
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2013
CoreCap Investments acquires WSC
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2013
Convergence Financial Advisors becomes CoreCap Advisors
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2016
CoreCap reaches 100 Registered Representatives / Investment Advisors
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2016
CoreCap reaches 100 Registered Representatives / Investment Advisors
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2017
CoreCap Advisors partners with TD Ameritrade as its custodian
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2018
CoreCap Advisors reaches $500 Million in Assets under Management ("AUM")
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2019
CoreCap reaches 200 Registered Representatives / Investment Advisors
CoreCap Investments reaches $1 Billion in processed transactions -
2019
CoreCap reaches 200 Registered Representatives / Investment Advisors
CoreCap Advisors reaches $1 Billion in AUM -
2020
CoreCap Investments welcomes Jason Steeno as new President
CoreCap Investments welcomes Craig Rumler as new Chief Compliance Officer & Chief Operating Officer -
2020
CoreCap Advisors welcomes Jason Steeno as new President
CoreCap Advisors welcomes Craig Rumler as new Chief Compliance Officer & Chief Operating Officer
CoreCap Investments, LLC, is a dynamic, independent, full-service brokerage firm. It is registered as a broker-dealer with the Securities and Exchange Commission (the “SEC”) and is subject to regulation by the SEC and by the Financial Industry Regulatory Authority (“FINRA”), which is a self-regulatory organization. Our affiliate, CoreCap Advisors, LLC, is also registered as an investment advisor with the SEC.
CoreCap and its diverse and experienced staff have the knowledge, experience and capability to explore all possible alternatives for clients and to do so in a timely and effective manner. CoreCap maintains relationships with many industry leading professionals, allowing us to remain flexible in an ever-changing financial services industry to better assist our clients in meeting their financial goals.
BUSINESS CONTINUITY PLANNING
CoreCap Investments, LLC, and CoreCap Advisors, LLC (collectively referred to as “CoreCap”) have developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.
- contacting us
- our plan
- varying disruptions
About our company - continued