Clients

Offering Investors Access to IPOs and Regulation A+ Offerings

Whether you are an individual or institutional investor looking for unique investment ideas and innovative asset management strategies or a promising growth company looking for capital raising, M&A and advisory services, Cambria specializes in helping you achieve your strategic and financial goals.

Our growing team of experienced professionals represents a broad set of skills that are intensely focused on providing a consistent high level of client-service, highest quality execution and differentiated client-specific solutions.

Cambria Capital has selected COR Clearing and Folio Investments as its clearing agents, to act as custodian of customer assets and provide a variety of back office services to the firm and its clients. Our diverse base of domestic and international clients includes:

  • Individuals
  • Institutional Clients
  • Corporations and their Executives
INDIVIDUAL CLIENTS

Cambria’s registered representatives provide individually tailored solutions to assist clients in meeting their investment and retirement needs. Unlike many of our larger competitors, we do not take a cookie cutter approach to advising private clients. At Cambria, each private client is unique, with distinct financial needs and goals. We pride ourselves on the quality and depth of our understanding of each client’s financial circumstances. We want to build a long-term relationship, with a focus on value creation, not volume of transactions. Cambria’s registered representatives are committed to helping clients build and manage their wealth.

As you allocate assets and implement your strategy, you and your representative will build a long-term relationship. Through this relationship, you will gain access to the investment resources of our firm. You and your representative can continually monitor your portfolio to evaluate its performance and review your goals and expectations relative to changes in market conditions or in your personal situation.

Some of our services include:

  • Access to New Regulation A+ Offerings, IPO’s & Secondary’s, Private Placements and PIPEs
  • Brokerage Accounts for Domestic and *International clients
  • Executive Accounts (Company Executives and High Net Worth Individuals)
  • Cash, Money Market, *Option and *Margin Accounts
  • Retirement Accounts (IRA, Roth, Sep, 401k, 403b, Pension Plans, Profit Sharing Plans, Education Savings)
  • Wealth Management & Advisory Programs
  • Traditional Commission-based or Fee-based Platforms
  • Financial Planning for Retirement, College Expenses, Financial Goals
  • Excellent Trading Execution
  • 144 Restricted & Registration Statement Transactions
  • 10b5-1 Buying & Selling Plans- assist in designing & implementing
  • Regular or Cashless Stock Option Exercises
  • ACH Direct Deposit, Debit Card & Check Writing

For additional information please contact your Cambria Registered Representative at 877-226-0477 or email us at client services

*International, Option & Margin Accounts are offered through Apex Clearing, Axos Clearing and Vision Financial Markets relationships only.

INSTITUTIONAL CLIENTS

These institutions include hedge funds, pension and mutual funds, private equity investors, and venture capital groups. Cambria’s investor clients expect us to be at the forefront of market trends and developments in our focus industries, relying on us to highlight new ideas that are below the radar of larger investment banks.

All trading at Cambria is executed on an agency basis which eliminates potential conflicts of interests.  Our goal is to get you the best execution on your trades.  Because of our large network of high-net worth and institutional investors under various conditions we are able to pinpoint appropriate buyers or sellers to complete the execution of a large block of stock for our institutional clientele. By having an in-depth understanding of our clients’ objectives and expectations we can deliver superior services, including:

  • Access to New Regulation A+ Offerings, IPO’s & Secondary’s, Private Placements and PIPEs
  • Wealth Management & Advisory Programs
  • Ability to interface with most Prime Brokers
  • DVP Accounts for Domestic and International clients
  • Cash, Money Market & Margin Accounts
  • Flexible Trading Charges- flat fee, percentage, or cents per share
  • Excellent Large Block Trading Execution
  • 144 Restricted & Registration Statement Transactions
  • Regular or Cashless Stock Option Exercises
  • ACH Direct Deposit, Debit Card & Check Writing
  • Ability to connect to other trading & reporting platforms
  • Customized Reports

If you would like to be added to our “deal flow” contact list or have any questions regarding additional services we offer, please contact your Cambria Registered Representative at 877-226-0477 email us at client services

CORPORATE & INVESTMENT BANKING CLIENTS

Our Corporate & Executive Service professionals have the expertise required to offer guidance and support to corporations and posses extensive experience working with top level executives.  We can provide customized solutions to your senior management at each stage of your company’s development as well as the financial needs of your employees.  We understand the often complicated issues relating to retaining your key employees and enhancing shareholder value.  Cambria is equipped to handle such complex issues on both a corporate and an individual basis, such as:

  • Cashless & Traditional Employee Stock Option Plans
  • 10b5-1 Purchase & Sale Plans
  • Control & Restricted Stock 144 sales
  • Company Stock Buy Back Programs
  • Flexible & Highly Customizable Retirement Plans
  • Corporate Executive & Employee Brokerage Accounts

Cashless & Traditional Employee Stock Option Plans
Employee stock option plans are a powerful tool to compensate, retain, and attract the hardworking people who help make your business successful.  Cambria can assist your company and its employees with stock option exercises.  Our team will take the time to explain the stock option process to your employees.  When selling stock options we will coordinate with your CFO or Controller to ensure employee sales are aligned to comply with your corporate “blackout” periods and SEC regulations.  In addition, we will coordinate with you and your transfer agent for efficient delivery of shares into the employee account, so we can release proceeds to the employee in a timely matter.  We also offer direct deposit at no additional charge for clients.

10b5-1 Purchase & Sale Plans
Sec Rule 10b5-1 allows officers and directors the flexibility to buy or sell stock at all times, not just during open trading windows.  Often executives are hampered by blackout periods and other types of insider trading regulations.  Cambria has extensive experience in structuring and executing 10b5-1 programs for a variety of public companies that will help your insiders comply with SEC regulations.

Control & Restricted Stock 144 Transactions
With our extensive background in understanding the regulatory requirements and provisions of selling restricted securities our advisors can assist you to ensure the process is done correctly.  From time to time, many small cap companies are faced with the problem of significant shareholders, employees or management needing to sell all or part of their holdings in an illiquid market. Large sellers forced to liquidate a position in the open market can create downward pressure on the share price and create overhang on the stock. One of Cambria’s strengths involves helping create an orderly market by matching a large block of stock available for sale with the right buyer, such as a long-term holder of small cap stocks, can provide a great deal of stability and future support for the stock.
Company Stock Buy Back Programs

If a company repurchases their outstanding shares in order to reduce the number of shares on the market that is known as a stock buyback. Many companies will initiate a stock buyback to send a positive signal to shareholders that management believes the company is undervalued.  At Cambria, we understand the complex issues you face such as enhancing shareholder value and confidence.  Cambria can assist your company’s buy back of shares over a period of time in a strategic and cost-effective matter while complying with applicable regulations.

Flexible & Customized Retirement Plans
Cambria offers a wide range of Retirement Plans such as Customized Corporate 401(k) Plans, 403(b) Plans, Pension Plans, Profit Sharing Plans and Employee Education Savings and IRAs (Traditional, SEP and Roth).  We won’t attempt to “fit you in” to a pre-designed benefit plan or package; but rather our consultative approach will customize an employee benefit solution that fits you and your people.

Corporate Executive & Corporate Employee Brokerage Accounts
We offer exclusive brokerage services to executives and employees of corporations.  Including group discounts on trades, 144 transactions, insider purchases, access to private placements, and managed accounts.

For additional information please contact your Cambria Registered Representative at 877-226-0477 email us at client services

CLEARING RELATIONSHIPS & ACCOUNT PROTECTION

Cambria Capital, LLC clears its brokerage business through Apex Clearing, Axos Clearing, Folio Investments and Vision Financial Markets.

Apex Clearing is headquartered in Dallas, TX. Cambria Capital has a secondary clearing arrangement with TradingBlock, member FINRA/SIPC, who operates under a fully disclosed clearing relationship with Apex Clearing. Apex is consistently selected as the clearing firm for tech savvy, fintech firms in the space. As a first-mover in the fintech space, Apex has become the Custodian-of-Choice for tech-savvy firms like Betterment, Stash and other financial disruptors. Apex is a member of the SIPC1 which protects customer accounts for up to $500,000 (of which up to $250,000 may be for cash). This protection does not safeguard against a decline or loss in market value of the securities in your account.

Axos Clearing is headquartered in Omaha, NE. Axos Clearing, formerly COR Clearing LLC, is a full-service clearing firm focused on providing flexible clearing solutions for their broker/dealer correspondents and registered investment advisor correspondents to grow their businesses. In 2019 they became a subsidiary of Axos Financial, a NYSE-listed company with over $1 billion of capital. Axos maintains an insurance policy through Lloyd’s of London, which provides account coverage up to $24.5 million (including up to $900,000 in cash) per client. In addition, both Axos and Cambria are members of the SIPC1. In short, combining the SIPC and Lloyd’s of London coverage results in account protection up to a total of $25 million per client as defined by SIPC rules, including up to $1 million for cash balances. This coverage does not protect against loss of market value of securities.

Folio Investments is headquartered in McLean, VA. The company was founded in 1999 by Steven Wallman, a former commissioner of the U.S. Securities and Exchange Commission widely recognized for advocacy on behalf of investors. Through FOLIO Investments, Inc., Folio Institutional is a member of SIPC.1 In addition to SIPC coverage, FOLIO has also purchased from certain underwriters at Lloyds supplemental customer securities insurance with a total aggregate limit of $50 million. This coverage is limited to a combined return of $10 million to any customer from SIPC and certain underwriters at Lloyds. Neither SIPC nor the insurance coverage protect against losses resulting from a decline in the market value of securities. For more information on SIPC and FDIC Coverage, please see  Folio’s custodial brochure.

Vision Financial Markets is a privately held company located in Stamford, Connecticut. Vision provides execution and clearing services to small and medium sized broker/dealers. Vision is registered with the Securities and Exchange Commission as a self-clearing securities broker/dealer. Vision serves the needs of direct securities traders, investment advisors and other broker/dealers through its correspondent services. This includes providing clearing services in equities, options and fixed income. Vision is a member of the SIPC1 which protects customer accounts for up to $500,000 (of which up to $250,000 may be for cash). This protection does not safeguard against a decline or loss in market value of the securities in your account.

1Member of SIPC, which protects securities customers of its members up to $500,000 (including up to $200,000 for claims for cash).  Explanatory brochure available upon request or at www.sipc.org

FORMS

Cambria Capital, LLC clearing its brokerage business through Apex Clearing, Axos Clearing, Folio Investments and Vision Financial Markets.

For accounts held with Folio Investments, Inc:

Folio Fee Schedule
Folio ACAT
Account Transfer LOA
Annual IRA Maintenance Fee: Check Deposit
Beneficiary IRA Account Amendment
Customer Agreement
FINRA Member Approval
Internal Account Transfer
IRA Beneficiary Designation
IRA Distribution Form
Kingdom trust Fixed Income and Alt Assets Program Guide
SIMPLE IRA: Employee Certification
SIMPLE IRA: Employer Certification
TOD Form
Trade IRA-Roth IRA Rollover Certification
Trustee Certification Form
W9 Form

For accounts held with Axos Clearing, LLC:

Margin Forms & Disclosures
Trading Authorization Agreement Form
Axos Option Agreement
Special Statement for Uncovered Options Writers
Options Customer rec’d Characteristics and Risks Brochure
Options Disclosure Document
Axos Clearing Fee Schedule
Client Information Update
W9 Form

Account Apps Domestic

Account Application – Corp
Account Application – Ind or Joint
Account Application – LLC
Account Application – Partnership
Account Application – Roth IRA
Account Application – Inherited Roth IRA
Account Application – Inherited Trad IRA
Account Application – SEP IRA
Account Application – Simple IRA
Account Application – Trad and Rollover IRA
Account Application – Trust
Account Application Supplemental Form
Account Update Form
Transfer on Death Form

–Retirement Forms

ESA
Coverdell Education Savings Account App
Coverdell Withdrawal Authorization
Coverdell Contribution Eligibility
IRA Account Distribution
IRA Beneficiary Required Election
IRA Change of Beneficiary Form
IRA Excess Removal Worksheet
IRA Rollover Certificate
QRP Application for Distribution
QRP Disclosure Form
Roth Contribution Eligibility
Roth Excess Removal Worksheet
Traditional IRA Contribution Eligibility

–Entity Certifications

Certificate of LLC
Certificate of Corporation
Certificate of Unincorporated Association
Certificate of Club Certification
Certificate of Partnership
Certificate of Sole Proprietor
Certificate of Trust
Beneficial Ownership Certification

–Institutional-DVP Account

Institutional Account Application
Institutional Suitability Certificate
Instructions For DVP Accounts
SIA_Form 151

Account Apps Foreign

—– Account Application – Foreign-Corp
—– Account Application – Foreign-ind-or-joint
—– Account Application – Foreign-Partnership
—– Account Application – Foreign-Trust
—– W-8BEN
—– W-8BEN-E (Entity)
—– W-8BEN-E (Instructions)
—– W-8IMY (Financial Intermediary)
—– W-8IMY (Instructions)

-Microcap Forms

—– 15G Disclosure
—– Microcap Standard Documents
—– Form 144

-Money & Securities Movement

—– Asset Transfer (ACAT)
—– ACH Moneylink Form
—– Account Funding Options(1)
—– Check Visa Application
—– LOA journal Request
—– LOA_for_3rd_Party_Distributions

Shareholder Disclosure to Issuers
Stockpower
Form A worthless Security 2016

Interested Party Authorization
Statement Consolidation Householding

For accounts held with Vision Financial Markets, LLC:

Account Apps Domestic

Account Application – Corp
Account Application – Ind or Joint
Account Application – LLC
Account Application – Partnership
Account Application – Retirement (All IRA types)
Account Application – Trust

Account Apps Foreign

—– Account Application – Foreign-Corp
—– Account Application – Foreign-ind-or-joint
—– Account Application – Foreign-Partnership
—– Account Application – Foreign-Trust
—– W-8BEN
—– W-8BEN-E (Entity)
—– W-8BEN-E (Instructions)
—– W-8IMY (Financial Intermediary)
—– W-8IMY (Instructions)

Account Supplements

Account Information Change Request Form
Cash Management Supplement
Custodial Supplement
Day Trading Supplement
Margin Supplement
Options Supplement
Special Statement for Uncovered Options Writers
Options Customer rec’d Characteristics and Risks Brochure
Options Disclosure Document
Transfer on Death (TOD) and Beneficiary Designation Form
Limited Trading Authorization
Full Trading Authorization
W9 Form

Entity Certifications

Beneficial Owner Form
Corporation Resolution
LLC Resolution and Certificate
Partnership Resolution and Certificate
Proprietary Funds Representation and Indemnification
Trustee Certification (Trust Under Agreement)
Trustee Certification (Trust Under Will)
Unincorporated Association Resolution and Certificate

Institutional-DVP Account

Institutional Suitability Certificate
DVP/RVP Supplement
Foreign Account Forms for DVP/RVP Supplement

Microcap Forms

Coming soon

Money & Securities Movement

—– For accounts held with Vision Financial Markets, LLC
—– Customer Incoming ACH Request
—– Customer Outgoing ACH Request
—– Customer Outgoing Wire Request
—– Internal Transfer Form
—– Securities Account Transfer Form (ACAT)

Retirement Forms

IRA ACH Contribution Authorization Agreement
IRA Address Change Request
IRA Beneficiary Designation
IRA Deposit Certification
IRA Distribution Request
IRA Transfer Request
IRA General Instruction Letter
IRA Fee Schedule
IRA Disclosures

Other Forms

Worthless Security Form (penny for the lot)
Website Site Access and Online Delivery Consent