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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, 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.

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  • our plan
  • varying disruptions
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About our company - continued

Our firm has a contractual agreement with RBC Correspondent Services (RBC CS), a division of RBC Capital Markets, LLC to serve as our clearing firm. RBC Capital Markets, LLC is a member of the Securities Investor Protection Corporation (SIPC). SIPC is a nonprofit membership corporation funded by its member security broker-dealers. SIPC protects the securities clients of its members in the event of the failure of a member firm. SIPC reimburses clients the cash value of their securities up to $500,000 per client. Any cash in a client's account would be reimbursed by SIPC up to $250,000 (reducing the $500,000 above). RBC Capital Markets, LLC, has purchased an additional policy that offers coverage in excess of the protection provided by SIPC. This coverage covers additional securities and cash protection up to $99.5 million per client, of which $900,000 may be in cash. A $400 million aggregate limit applies to this additional coverage.

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Securities sold through CoreCap Investments, LLC, a registered broker-dealer and member FINRA/SIPC; advisory services offered by CoreCap Advisors, LLC, a registered investment advisor (collectively, "CoreCap"). CoreCap does not provide tax or legal advice. Securities products offered are not guaranteed or endorsed by CoreCap and are not FDIC insured, not guaranteed by any bank, and may lose value. The information presented here is not specific to any individual’s personal circumstances. This website does not constitute an offer to sell or a solicitation of offers to purchase or sell securities in any jurisdiction in which CoreCap is not qualified to make or solicit such offers. To the extent that this material concerns tax matters, it is not intended or written to be used, and cannot be used, by a taxpayer for the purpose of avoiding penalties that may be imposed by law. Further, nothing on this site is intended to be, or to be relied upon as tax, legal, or investment advice. Investors should consult with their own tax, legal, and investment professionals. These materials are provided for general information and educational purposes based upon publicly available information from sources believed to be reliable; however, we cannot assure the accuracy or completeness of these materials. This information may change at any time and without notice.

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Form CRS – CoreCap Investments
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Form CRS – CoreCap Advisors
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