Form CRS Relationship Summary

Customer relationship summary

Updated November 17, 2020

Item 1. Introduction

Securitize Markets, LLC (“Securitize Markets,” “Firm,” “us” or “we”) is registered with the Securities and Exchange Commission (“SEC”) as a broker-dealer and is a member of the Financial Industry Regulatory Authority and the Securities Investor Protection Corporation. SEC regulations require that broker-dealers like us provide you with a Relationship Summary that describes our services, fees, conflicts of interest, disciplinary history and other important information. Brokerage and investment advisory services and fees differ, and it is important for investors to understand the differences. Free and simple tools are available to research firms and financial professionals at Investor.gov, which also provides educational materials about broker-dealers, investment advisers, and investing.

Item 2. Relationship and Services

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 private placement offerings to retail investors under Regulation D, Regulation A, Regulation S and Regulation CF. These offerings are speculative, high risk and illiquid investments where an investor may lose their entire investment. We do at times provide recommendations but do not provide investment advice nor ongoing advice or monitoring of your investments. You may 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, including digital asset securities. Other firms may offer a wider range of products and services, some of which may have lower costs.

We also have an Alternative Trading System (“ATS”) named Securitize Markets ATS that offers accredited investors the opportunity to buy or sell exempt 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.

Ask your Financial Professional:

Given my financial situation, should I choose a brokerage service? Why or why not?
How will you choose investments to recommend to me?
What is your relevant experience, including your licenses, education and other qualifications? What do these qualifications mean?

Item 3. Fees, Costs, Conflicts of Interest and Standard of Conduct

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 your 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.securitize.io/invest.

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. Neither Securitize Markets, nor any of its affiliates provide any investment advice or make any investment recommendations to any persons, ever, and 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, start-up investments in particular, 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. Any financial projections or returns shown herein are provided by the issuer of the relevant security and Securitize Markets has not verified the accuracy. 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. By accessing this site and any pages thereof, you agree to be bound by our Terms of Service and Privacy Policy.