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Andrew Ye

SECURITIZE MARKETS

Fallbrook, CA

·CRD# 6690964·8 years experience

Professional Summary

Andrew Ye is a registered financial advisor currently at SECURITIZE MARKETS, LLC located in Fallbrook, California. Andrew is registered as a RR (Registered Representative) and started their career in finance in 2020. Andrew has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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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

8 years in the financial services industry

Current & Past Employments

SECURITIZE MARKETS, LLC·CRD# 283256

BD

Fallbrook, CA

August 18, 2025 - Present

GRAYSCALE SECURITIES, LLC·CRD# 305907

BD

Stamford, CT

June 21, 2024 - August 18, 2025

FORESIDE FUND SERVICES, LLC·CRD# 46106

BD

Newark, NJ

May 15, 2020 - June 3, 2024

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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

Name	Position	CRD#
SECURITIZE I, INC.	OWNER	—
BERGIN, MATTHEW	PRINCIPAL OPERATIONS OFFICER	2287471
DIPACI, DANIEL ROBERT	FINOP/PFO	5769758
NIKOLSON, JOSEPH	CEO, CCO	2831577

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(8/18/2025)

RR

Alaska
(8/18/2025)

RR

Arizona
(8/18/2025)

RR

Arkansas
(8/18/2025)

RR

California
(8/18/2025)

RR

Colorado
(8/18/2025)

RR

Connecticut
(8/18/2025)

RR

Delaware
(8/18/2025)

RR

District of Columbia
(8/18/2025)

RR

Florida
(8/18/2025)

RR

Georgia
(8/18/2025)

RR

Hawaii
(8/18/2025)

RR

Idaho
(8/18/2025)

RR

Illinois
(8/18/2025)

RR

Indiana
(8/18/2025)

RR

Iowa
(8/18/2025)

RR

Kansas
(8/18/2025)

RR

Kentucky
(8/18/2025)

RR

Louisiana
(8/18/2025)

RR

Maine
(8/18/2025)

RR

Maryland
(8/18/2025)

RR

Massachusetts
(8/18/2025)

RR

Michigan
(8/18/2025)

RR

Minnesota
(8/18/2025)

RR

Mississippi
(8/18/2025)

RR

Missouri
(8/18/2025)

RR

Montana
(8/18/2025)

RR

Nebraska
(8/18/2025)

RR

Nevada
(8/18/2025)

RR

New Hampshire
(8/18/2025)

RR

New Jersey
(8/18/2025)

RR

New Mexico
(8/18/2025)

RR

New York
(8/18/2025)

RR

North Carolina
(8/19/2025)

RR

North Dakota
(8/18/2025)

RR

Ohio
(8/18/2025)

RR

Oklahoma
(8/18/2025)

RR

Oregon
(8/18/2025)

RR

Pennsylvania
(8/18/2025)

RR

Puerto Rico
(8/18/2025)

RR

Rhode Island
(8/18/2025)

RR

South Carolina
(8/18/2025)

RR

South Dakota
(8/18/2025)

RR

Tennessee
(8/18/2025)

RR

Texas
(8/18/2025)

RR

Utah
(8/18/2025)

RR

Vermont
(8/18/2025)

RR

Virgin Islands
(8/18/2025)

RR

Virginia
(8/18/2025)

RR

Washington
(8/18/2025)

RR

West Virginia
(8/18/2025)

RR

Wisconsin
(8/18/2025)

RR

Wyoming
(8/18/2025)

Exams

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

Series 66 — Uniform Combined State Law Examination

Passed Nov 2024About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 2020About the Series 63 exam

Series 7TO — General Securities Representative Examination

Passed May 2020About the Series 7TO exam

SIE — Securities Industry Essentials Examination

Passed Nov 2018About the SIE exam

FINRA

SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Andrew Ye's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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AY

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