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Customer Relationship Summary

Last Update: November 2023

Introduction

Securitize Markets, LLC (the "Firm," "we," "our," or "us") is registered with the U.S. Securities and Exchange Commission as a broker-dealer and is a member of the Financial Industry Regulatory Authority ("FINRA") and the Securities Investor Protection Corporation ("SIPC"). Brokerage and investment advisory services and fees differ; and it is important that you understand these differences. Free and simple tools are available for you to research firms and financial professionals at Investor.gov/CRS, which also provides educational materials about broker-dealers, investment advisers, and investing.

What investment services and advice can you provide me?

We offer brokerage services to "retail investors" as defined under Regulation Best Interest. We offer and sell shares of registered closed-end mutual funds and private placement offerings to retail investors under Regulation D, Regulation A, Regulation S and Regulation CF. These types of offerings are speculative, high risk and illiquid investments where an investor may lose their entire investment. Certain offerings are only available to "accredited investors." We do at times provide recommendations, but do not provide investment advice nor ongoing advice or monitoring of your investments. You must either select investments on your own or we may recommend investments for your account. As the investor, you make the ultimate decision regarding the purchase or sale of an investment and your investment strategy. We perform due diligence on the offerings for which we make recommendations, focusing on business, financial and organizational viability of the company offering the securities. We do not offer to investors a wide range of investments but limit our offerings to private placement securities and registered closed-end funds. We focus exclusively on digital asset securities. Other firms may offer a wider range of products and services, some of which may have lower costs.

We also operate an Alternative Trading System ("ATS") named Securitize Markets ATS that offers investors the opportunity to buy or sell securities on the secondary market. We do not make any recommendations concerning any securities transaction on Securitize Markets ATS. In addition, securities you own or may wish to purchase may not be available for secondary trading on Securitize Markets ATS.

We do not custody funds or securities on behalf of customers. We do not monitor the securities that are held in customer accounts, and do not accept discretionary authority, limited or otherwise, over customer accounts. We do not require a minimum dollar amount or account size for retail investors to open or maintain an account.

Questions to Ask:

  • Given my financial situation, should I choose a brokerage service?
  • Why or why not?
  • What is your relevant experience, including your licenses, education and other qualifications and what do they mean?

What fees will I pay?

If you open a brokerage account, you will pay us a transaction-based fee, generally referred to as a commission, every time you buy or sell an investment. Investments are subject to a one-time transaction fee calculated as a percentage of the amount of your investment. You would be charged more if there are more transactions in your account, or where a transaction is larger, and thus we may have an incentive to encourage you to trade often or in larger transactions.

Our fees can vary depending on the issuer, type of security, and number and size of the transactions. You should carefully review the securities offering documents for full disclosure of all fees and costs for the transaction. We reserve the right at our discretion to waive or amend the fees we charge our investors on a case by case basis. You will pay fees and costs whether you make or lose money on your investments. Fees and costs will reduce any amount of money you make on your investments over time.

Please make sure you understand what fees and costs you are paying. To learn more concerning our cost structure, please ask us or see our website at http://www.SecuritizeMarkets.io

You will also pay us a transaction fee if you buy or sell securities on our ATS. Transaction fees may vary from security to security and by the size of the transaction but will typically be 1% of the sale price. The transaction fee will be disclosed when you enter an order to the Securitize Markets ATS. This means that you will pay more transaction fees if you participate in more trades on the Securitize Markets ATS as a seller and buyer, and we may therefore have an incentive to encourage you to trade often. We do not charge customers other fees, such as an account maintenance fee or custody fees.

Questions to Ask:

  • Help me understand how these fees and costs might affect my investments. If I give you $10,000 to invest, how much will go to fees and costs, and how much will be invested for me?
  • What are your legal obligations to me when providing recommendations? How else does your firm make money and what conflicts of interest do you have?

We must abide by certain laws and regulations in our interactions with you.

When we provide you with a recommendation, we have to act in your best interest and not put our interest ahead of yours. At the same time, the way we make money creates some conflicts with your interests. You should understand and ask us about these conflicts because they can affect the services we provide you. Here are some examples to help you understand what this means: You are charged more where there are more or larger transactions in your account, and thus there is an incentive to encourage you to trade more often or in larger transactions. We receive payments from the issuer (the company selling you its securities), in addition to any compensation we charge you. At times, an issuer doing business with us may also have a business relationship with our parent company or its subsidiaries, which includes a registered transfer agent. When we provide you recommendations, we must eliminate these conflicts or tell you about them and in some cases reduce them. Fees and costs affect the value of your account over time.

Please ask your financial professional to give you personalized information on the fees and costs that you will pay.

Questions to Ask:

  • How might your conflicts of interest affect me, and how will you address them?

How do your financial professionals make money?

Some of our financial professionals are paid a commission on the investment product sold. They receive a portion of what we charge you for the transaction. Some products may have a higher commission than others thus presenting an incentive for us to encourage you to purchase a higher commission investment. Other of our financial professionals are paid by salary and a performance bonus.

Do you or your financial professionals have legal or disciplinary history?

No, neither the Firm nor any of its financial professionals have any disciplinary history. You can find more information about us at https://www.investor.gov/CRS.

Questions to Ask:

  • As a financial professional, do you have any disciplinary history? For what type of conduct?

Do you or your financial professionals have legal or disciplinary history?

No, neither the Firm nor any of its financial professionals have any disciplinary history. You can find more information about us at http://www.investor.gov/CRS.

Questions to Ask:

  • Who is my primary contact person?
  • Is this person a representative of an investment adviser or a broker-dealer?
  • Who can I talk to if I have concerns about how this person is treating me?
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Check the background of Securitize Markets on FINRA BrokerCheck. Securities are offered through Securitize Markets, LLC, ("Securitize Markets") a registered broker-dealer and member FINRA / SIPC. Securitize Markets may provide recommendations, at times, but does not provide investment advice nor ongoing advice or monitoring of your investments. No communication through herein or in any other medium should be construed as such. Securities offered on the Securitize Markets ATS have not been registered under the Securities Act of 1933 and may not be offered or sold in the United States absent registration or an applicable exemption from registration requirements. Assets listed herein, such as digital assets or tokens using blockchain, are speculative, involve a high degree of risk, are generally illiquid, may have no value, have limited regulatory certainty, are subject to potential market manipulation risks and may expose investors to loss of principal. Investments in private placements are also speculative and involve a high degree of risk. Investors must be able to afford the loss of their entire investment. Eligibility to buy and sell securities on the Securitize Markets ATS is determined by Securitize Markets in its sole discretion. Offers to sell, or the solicitations of offers to buy any security can only be made through official offering documents that contain important information about risks, fees and expenses associated with the applicable securities available for trading on the Securitize Markets ATS. Investors should conduct their own due diligence, not rely on the financial assumptions or estimates displayed herein, and are encouraged to consult with a financial advisor, attorney, accountant, tax advisors, and any other professional that can help you to understand and assess the risks associated with any investment opportunity. Past performance is not indicative of future results. Neither the Securities and Exchange Commission nor any federal or state securities commission or regulatory authority has recommended or approved any investment or the accuracy or completeness of any of the information or materials provided herein or through any references/links herein. Further, there can be no assurance that any valuations provided by issuers are accurate or in agreement with market or industry valuations. Securitize Markets and its affiliates make no representations or warranties as to the accuracy of such information. Securitize Markets may collect certain information about you that helps us comply with various securities regulations and rules and the USA PATRIOT Act, a Federal law that requires all securities firms to obtain, verify, and record information that identifies each applicant. The information also helps us more fully understand your investment profile and identify what types of investments or strategies may be suitable for you. The term "Investors" used on this website, typically refers to accredited investors where applicable. Please note: if we cannot verify the information you provide, we may be required to restrict or deny your account. Trading during Extended Hours Trading Sessions carries unique risks, such as greater price volatility, lower liquidity, wider bid/ask spreads, and less market visibility, and may not be appropriate for all investors. There is no guarantee that a diversified portfolio will enhance overall returns, outperform a non-diversified portfolio, or prevent against loss. Securitize Markets is a member of FINRA and registered with the SEC, and is regulated by both entities. However, this membership and registration do not guarantee compliance with all applicable rules and regulations. By accessing this site and any pages thereof, you agree to be bound by our Terms of Service and Privacy Policy.

Crypto services are provided by Zero Hash and are not associated with Securitize Markets, LLC or its affiliates. Crypto assets are not protected by the Securities Investor Protection Corporation (SIPC), under the Securities Investor Protection Act (SIPA), or by federal securities laws. SIPC protection does not apply to funds held at SIPC-member broker-dealers if they are unrelated to the purchase or sale of eligible securities, intended for buying certain crypto assets not recognized as "securities" under SIPA, or transferred to a crypto asset platform. Crypto assets are neither cash nor cash equivalents and are not covered by the Federal Deposit Insurance Corporation (FDIC). The value of crypto assets is subject to significant market volatility. There is an increased risk of fraud or cyber attack associated with crypto assets and other forms of virtual currency. Zero Hash LLC and Zero Hash Liquidity Services are licensed to engage in Virtual Currency Business Activity by the New York State Department of Financial Services.

For any EU-based investors, investment and ancillary services are offered by Securitize Europe Brokerage and Markets, S.V., S.A. ("Securitize Europe"). Securitize Europe is a Spanish investment firm authorized and supervised by the Spanish Securities Market Commission, the Comisión Nacional del Mercado de Valores ("CNMV"), under registration number 327. Securitize Europe is registered with the Commercial Registry of Madrid at Volume 45141, Section 8, Sheet 81, Page M-794351, and holds the Tax Identification Number ("NIF") A13691464. Securitize Europe's registered office is at Calle Don Ramón de la Cruz 38, 28001 Madrid, Spain.

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