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.
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.
Please feel free to contact us with any questions.