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Home > Financial Services > Stock Brokers > ACAP Financial
ACAP Financial
Registered as a corporation in the State of Utah since 1991, ACAP Financial, Inc. (ACAP) is a licensed securities broker and dealer specializing in over-the-counter securities. Headquartered in Salt Lake City, Utah, ACAP has a second office in Palatine, Illinois, a suburb of Chicago.
ACAP is a member of the National Association of Securities Dealers (NASD) and the Securities Investor Protection Corporation (SIPC). Cleared and licensed to transact securities business in over 28 states, ACAP executes wholesale trading with other licensed securities brokers and dealers throughout the U.S. and executes retail trades for our customers. ACAP also assists emerging growth companies with private and/or public equity capital raises.
ACAP offers a variety of services to its clients like, Investment Banking, Retail Brokerage or Wholesale Brokerage for additional information.
In Investment Banking ACAP provides capital solutions for emerging growth companies. They locate these companies through a network of business consultants, law firms, public accounting firms and referrals from previous clients. Small to medium-sized companies seeking equity capital to execute business plans and expand products or services are evaluated. ACAP targets companies with an experienced management team, existing revenue and potential for obtaining a large market share within their industry. The company is especially interested in companies that have a “disruptive industry business plan” that will dramatically change or create a new market niche within an industry.
Their most common type of equity securities offerings is private placement. ACAP generally acts as the placement agent of a fully disclosed private placement memorandum usually defined in the Securities Exchange Act as a “506 Regulation D Private Placement Offering.” This type of offering is not a registered offering with the Securities and Exchange Commission (SEC). It is exempt from SEC registration, but must comply with federal and state securities laws and the regulations in each state where the offering is sold.
In retail brokerage the majority of the company’s retail business is in the equity market, primarily in the over-the-counter securities market. Generally defined these are publicly traded companies with less than a $300 million market capitalization. Much of their retail business is the result of investment banking work they have completed with clients.
ACAP assists companies in determining the best overall equity concept to achieve their goals, objectives and growth capital requirements through either a private or public offering.
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