ABOUT OUR COMPANY

CoreCap Investments, Inc., 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, Inc., is also registered as an investment advisor with the SEC.

CoreCap and its professionals are dedicated to bringing clients comprehensive financial planning strategies along with investment advisory and investment banking services.

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.

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.

 

Note: Neither SIPC protection, nor protection in excess of that offered by SIPC, covers a decline in the value of a client's assets due to market loss. Additional information is available upon request or at www.sipc.org