CLIENTS

OUR CLIENTS ARE OUR GREATEST ASSET

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 Apex Clearing, Axos Clearing, Folio Investments and Vision Financial Markets 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 Regulation A+ & Regulation CF 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 Regulation A+ & Regulation CF 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                                                

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 Alternative 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
Check Visa Application
LOA journal Request 
LOA_for_3rd_Party_Distributions

Shareholder Disclosure to Issuers
Stockpower
Removal of Non-Marketable Securities

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
 

Account Funding Options 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

 

Cambria Capital, LLC.

 

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Check the background of this firm on FINRA's BrokerCheck 
 

Regulation A+ offerings have two phases – a pre-qualification phase and a post-qualification phase. Qualification is the term used by the SEC to indicate that the offering has been reviewed by the SEC and securities may be sold. During the pre-qualification phase, you may reserve securities to be purchased at a later date. All reservations are non-binding. A company will only be able to make sales of securities to you after it has filed an offering statement with the SEC and the SEC has qualified the offering statement. The Information in that offering statement will be more complete than the information that the company is providing to you prior to qualification and it could differ in important ways. You must read the offering statement and documents filed with the SEC before investing in any of the companies listed on our website. Unless the offering statement has been qualified, no money or other consideration is being solicited, and if sent, will not be accepted. No sales will be made or commitments to purchase accepted until the offering statement is qualified. 

By accessing this site and any pages thereof, you agree to be bound by its Terms of Use and Privacy Policy, as may be amended from time to time without notice or liability. 

Although the information provided to you on this site is obtained or compiled from sources we believe to be reliable, the content of this website is provided “as is" without warranty of any kind (either express or implied). 

Financial products listed on this website are only available to residents in the states where Cambria is registered. 

Neither the SEC nor any state regulator or other regulatory body has passed upon the merits of or given its approval to the securities, the terms of the offerings, or the accuracy or completeness of any offering materials or information posted on the site. 

Investments in Regulation A+ offerings are speculative and may involve a high degree of risk. Investors may receive illiquid stock that may have little to no secondary market. There can be no assurance the valuation is accurate or in line with the market or industry valuations. 

Securities sold through private placements are not publicly traded and are intended for investors who do not have a need for a liquid investment. Additionally, investors in private placements will receive restricted stock that will be subject to holding period requirements. 

 

Companies offering securities in Regulation A offerings and private placements tend to be in the earlier stages of development and have not yet been fully tested in the public marketplace. Investing in Regulation A+ offerings and private placements requires high risk tolerance, low liquidity concerns, and long-term commitments. Investors must be able to afford to lose their entire investment.