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AS

Andrew Robert Anthony Stewart

CRD# 5118032·Registered 2008 - 2017
Previously Registered: Being a previously registered professional could mean that Andrew is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Andrew Robert Anthony Stewart was a registered financial advisor. Andrew was a previously registered financial professional and started their career in finance 2008 - 2017. Andrew had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

17 years in the financial services industry

Current & Past Employments

SECURITIZE MARKETS, LLC·CRD# 283256
BD
New York, NY
September 28, 2016 - March 9, 2017
BLACKROCK INVESTMENTS, LLC·CRD# 38642
BD
New York, NY
June 12, 2013 - October 26, 2015
CREDIT SUISSE SECURITIES (USA) LLC·CRD# 816
BD
New York, NY
December 1, 2010 - June 12, 2013
MAN INVESTMENTS INC.·CRD# 15770
BD
Chicago, IL
December 19, 2008 - November 8, 2010

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Current Firm

SM
SECURITIZE MARKETS, LLC

DISTRIBUTED TECHNOLOGY MARKETS LLC | SECURITIZE MARKETS, LLC | ORCHARD PLATFORM MARKETS, LLC

CRD#: 283256 / SEC#: 8-69743
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)

Contact Information

Main Address

78 Sw 7th Street Suite 500, Miami, FL 33130

Mailing Address

78 Sw 7th Street Suite 500, Miami, FL 33130

Phone Number

(240) 685-9775

Established

Delaware since 12/10/2015

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SECURITIZE I, INC.OWNER—
BERGIN, MATTHEWPRINCIPAL OPERATIONS OFFICER2287471
DIPACI, DANIEL ROBERTFINOP/PFO5769758
NIKOLSON, JOSEPHCEO, CCO2831577

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 2009About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Mar 2017About the SIE exam

Series 7 — General Securities Representative Examination

Passed Dec 2008About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Dec 2008About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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