Cabrera Capital

Effective date: 15th December 2025

1) Who we are & scope of this Notice

Cabrera Capital Markets LLC ("Cabrera", "we", "us", or "our") is a U.S. broker–dealer registered with the U.S. Securities and Exchange Commission (SEC), a member of the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB), and a member of the Securities Investor Protection Corporation (SIPC). Information about affiliated entities may also be available on this website. This website is intended for institutional audiences. We do not conduct brokerage activities or sales on this site.

This Notice explains how we collect, use, disclose, and safeguard information when you visit our website. It complements, and does not replace, our obligations under SEC Regulation S‑P (Privacy of Consumer Financial Information and Safeguarding Customer Information) and other applicable laws, rules, and our internal compliance program.

2) Information we collect

We strive to minimize personal information collected via this site. That said, all websites necessarily collect some identifiers and technical data. We collect:

Technical and device information (e.g., IP address, truncated/anonymized where configured; browser and OS; pages viewed; timestamps; referring URLs). This is used for security, performance, and analytics.
Cookie and similar technologies information (see Section 4).
Contact information that you choose to provide (e.g., name, work email, phone, firm) when you email us, submit a request to exercise privacy rights, or otherwise contact us. We use this only to respond to and document your request and to comply with applicable recordkeeping requirements.

We do not intentionally collect financial account numbers, government identifiers, or other sensitive personal information through this site.

3) How we use information

We use website-derived information to operate, secure, and improve the site; to understand aggregate usage; to fulfill or respond to inquiries you submit; to detect and prevent fraud and abuse; and to comply with legal and regulatory requirements (including books-and-records and supervisory obligations).

We use CookieBot as our consent management platform (CMP) to provide granular controls over cookies and similar technologies. Cookie categories used on this site:

Strictly Necessary — essential for basic site functionality and security (cannot be disabled).
Analytics — first‑party analytics via Matomo to measure aggregate usage (configurations include IP anonymization and avoidance of cross‑site tracking).

You can manage preferences at any time via the ‘Cookie Settings’ link. We honor Global Privacy Control (GPC) and other valid universal opt‑out signals by disabling non‑essential cookies when such signals are detected.

Matomo opt‑out: You may also opt out of Matomo analytics via our CookieBot controls or by using Matomo’s opt‑out mechanism if provided.

We do not ‘sell’ or ‘share’ personal information as those terms are defined under the California Consumer Privacy Act (as amended by the CPRA), nor do we process personal information for targeted advertising as defined by Colorado, Virginia, Texas, Delaware, New Jersey, and other state privacy laws. If our practices change, we will update this Notice and our controls accordingly.

6) Your U.S. state privacy rights

Depending on where you live, you may have the right to request access to, correction or deletion of personal information; to obtain a portable copy; and to opt out of sale, sharing, or targeted advertising. We honor Global Privacy Control (GPC) and Colorado’s Universal Opt‑Out Mechanism.

How to exercise rights: Please contact us through our contact form or through the mechanism described in the CookieBot banner. We will verify your request consistent with applicable law and respond within the required timeframe.

7) Information security and incident response

We maintain administrative, technical, and physical safeguards appropriate to our business and consistent with SEC Regulation S‑P’s Safeguards Rule. Our incident response program is designed to detect, respond to, and recover from unauthorized access or use. Where required, we will provide timely notifications to affected individuals (e.g., within 30 days for incidents involving sensitive customer information under the SEC’s 2024 amendments to Regulation S‑P).

8) Retention

We keep website analytics and server log data for no longer than necessary to fulfill the purposes described above (generally 14 months for analytics, subject to change based on operational and regulatory needs). We retain correspondence related to rights requests as required by law and our recordkeeping policies (e.g., under SEC/FINRA books‑and‑records rules).

9) Children’s privacy

This site is not directed to children under 13, and we do not knowingly collect personal information from children. We also do not process the personal information of known teens (13–17) for advertising or sale.

10) International visitors

This site is intended for U.S. visitors. If you access the site from outside the United States, you understand that information may be processed in the United States subject to U.S. law.

11) Accessibility (WCAG 2.1 AA)

We endeavor to make this site accessible and usable consistent with WCAG 2.1 AA. If you need an accommodation or wish to report an accessibility issue related to this site or the cookie banner, please contact us at IT@cabreracapital.com or via our contact page.

12) Regulatory disclosures

SEC Regulation S‑P: Cabrera maintains written policies and procedures reasonably designed to safeguard customer records and information and to protect against unauthorized access or use. Our website practices complement, and do not replace, those obligations.
FINRA Membership & BrokerCheck: Cabrera is a FINRA member. To learn more about our firm and registered representatives, visit FINRA BrokerCheck at https://brokercheck.finra.org or call (800) 289‑9999. Pursuant to FINRA Rule 2210(d)(8), we provide a readily apparent reference and hyperlink to BrokerCheck on relevant pages.
SIPC Membership: Cabrera is a member of the Securities Investor Protection Corporation (SIPC). For information about SIPC, including the SIPC brochure, visit https://www.sipc.org or call (202) 371‑8300. SIPC provides limited protection for customers of SIPC‑member broker‑dealers in the event of the firm’s insolvency; it does not protect against market loss.
SEC Rule 605: The SEC's customer disclosure rule, SEC Rule 605, requires market centers to disclose monthly data about the quality of their trade executions. Each monthly report should disclose execution quality data based on the previous month's trading activity.

The disclosure of SEC-Required Order Execution Information, SEC Rule 605, requires market centers to disclose monthly data about the quality of their trade executions.

All of Cabrera Capital Markets’ orders are Not Held orders. In compliance with Rule 605, CCM will disclose a blank report for all viewers of the website HERE
SEC Rule 606: SEC Rule 606 requires broker‐dealers that route customer orders in NMS securities and listed option securities to make publicly available quarterly reports that identify the venues to which customer orders are routed for execution.

Cabrera Capital Markets does not have any non-directed orders in NMS stocks that are submitted on a held basis. In accordance with SEC Rule 606(b)(3), upon written request of a customer that places not held orders, CCM will provide specific disclosures, for the prior six months, regarding routing and execution of such orders. Per SEC Rule 606(b)(3) data collection for customer‐specific not held orders began June 1, 2020 and starting July 29, 2020, customer‐specific reports requested by clients will be provided within seven business days from the request. More information is available HERE
MSRB: Cabrera is registered with the MSRB. Investors may find an investor brochure that describes the protections provided by MSRB rules and how to file a complaint with an appropriate regulatory authority at https://www.msrb.org.
Communications & No‑Offer/No‑Advice: Website content is for general informational purposes only, is not research or investment advice, and does not constitute an offer to sell or a solicitation of an offer to buy any security or financial instrument. Offers, if any, are made only by confidential offering materials or definitive documentation and in compliance with applicable law.
Email & Electronic Communications: Email or messages sent to Cabrera may be monitored, retained, and produced to regulators consistent with applicable laws and our supervisory procedures. Do not transmit sensitive or confidential information via unsecured email.
Intended Audience; No Retail Accounts via Website: This site is intended for institutional and professional audiences. We do not open accounts or execute transactions for customers through this site.

13) Changes to this Notice

We may update this Notice from time to time. We will post the updated version with a new effective date. Material changes will be highlighted for a reasonable period.

14) Contact us

For privacy questions or to exercise your rights, contact us through our contact form. For accessibility requests related to this site, contact us at IT@cabreracapital.com. For other inquiries, use the contact information published on our corporate site.

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